Skip to main content

Full text of "Confirmation hearings on federal appointments : hearings before the Committee on the Judiciary, United States Senate, One Hundred Third Congress, first session on confirmations of appointees to the federal judiciary"

See other formats


GOVDOC  ■  -     / 

Y4.J89/2:  .  g  ^^^  io3-l03l,  Pt.  3 

2T!!!!J^FIRMATION  HEARINGS 
TWTEDERAL  APPOINTMENTS 


HEAKINGS 

BEFORE  THE 

COMMITTEE  ON  THE  JUDICIARY 
UNITED  STATES  SENATE 

ONE  HUNDRED  THIRD  CONGRESS 

SECOND  SESSION 

ON 

CONFIRMATIONS  OF  APPOINTEES  TO  THE  FEDERAL  JUDICIARY 


MARCH  25;  APRIL  21,  22,  29;  MAY  12  AND  25,  1994 


Part  3 


Serial  No.  J-103-28 


Printed  for  the  use  of  the  Committee  on  the  Judiciary 


U.S.  GPO 


MAR  I  51996 


nEPOSlfORY  DOC 


/£5/<>A 


S.  Hrg.  103-1031,  Pt.  3 

CONHRMATION  HEARINGS 
ON  FEDERAL  APPOINTMENTS 


HEARINGS 

BEFORE  THE 

COMMITTEE  ON  THE  JUDICIARY 
UNITED  STATES  SENATE 

ONE  HUNDRED  THIRD  CONGRESS 

SECOND  SESSION 

ON 

CONFIRMATIONS  OF  APPOINTEES  TO  THE  FEDERAL  JUDICIARY 


MARCH  25;  APRIL  21,  22,  29;  MAY  12  AND  25,  1994 


Parts 


Serial  No.  J-103-28 


Printed  for  the  use  of  the  Committee  on  the  Judiciary 

bOSTON  PUBLIC  LIBf^ArtY  ^^ 

GOVERNMENT  DOCUMENTS  DEPARTMENT 

."'ECEIVED 


FEB  2  4  2000 


0 


20-487 


U.S.  GOVERNMENT  PRINTING  OFFICE 
WASHINGTON  :  1996 


For  sale  by  the  U.S.  Government  Printing  Office 
Superintendent  of  Documents,  Congressional  Sales  Office,  Washington,  DC  20402 
ISBN  0-16-052259-5 


COMMITTEE  ON  THE  JUDICIARY 
JOSEPH  R.  BIDEN,  Jr.,  Delaware,  Chairman 


EDWARD  M.  KENNEDY,  Massachusetts 
HOWARD  M.  METZENBAUM,  Ohio 
DENNIS  DeCONCINI,  Arizona 
PATRICK  J.  LEAHY,  Vermont 
HOWELL  HEFLIN,  Alabama 
PAUL  SIMON,  IlUnois 
HERBERT  KOHL,  Wisconsin 
DIANNE  FEINSTEIN,  CaUfomia 


ORRIN  G.  HATCH,  Utah 
STROM  THURMOND,  South  Carolina 
ALAN  K.  SIMPSON,  Wyoming 
CHARLES  E.  GRASSLEY,  Iowa 
ARLEN  SPECTER,  Pennsylvania 
HANK  BROWN,  Colorado 
WILLIAM  S.  COHEN,  Maine 
LARRY  PRESSLER,  South  Dakota 


CAROL  MOSELEY-BRAUN,  IlUnois 

Cynthia  C.  Hogan,  Chief  Counsel 

Catherine  M.  Russell,  Staff  Director 

Mark  R.  Disler,  Minority  Staff  Director 

Sharon  Prost,  Minority  Chief  Counsel 


(II) 


,^,/^eU  Of  J8US  MOTSOc 

I 


/ 


CONTENTS 


HEARING  DATES 

Page 

Friday,  March  25,  1994  ,^1 

Thursday,  April  21,  1994  105 

Friday,  April  22,  1994  377 

Friday,  April  29,  1994  511 

Thursday,  May  12,  1994 665 

Wednesday,  May  25,  1994 923 

FRIDAY,  MARCH  25,  1994 
Statements  of  Committee  Members 

Moseley-Braun,  Hon.  Carol 1 

Simon,  Hon.  Paul 10 

Introduction  of  Nominees 

Feinstein,  Hon.  Dianne  2 

Hutchison,  Hon.  Kay  Bailey  11 

Brooks,  Hon.  Jack  11 

de  la  Garza,  Hon.  E  (prepared  statement)  12 

Moseley-Braun,  Hon.  Carol 12 

Testimony  of  Nominees 

Audrey  Collins,  Los  Angeles,  CA,  to  be  U.S.  District  Judge  for  the  Central 

District  of  California  4 

Questioning  by: 

Senator  Moseley-Braun 4 

Qp»-jof Qj"  SoGctcr  

Fortunate  Benavides,  Austin,  TX,  to  be  U.S.  Circuit  Judge  for  the  Fifth 

Circuit  15 

Questioning  by: 

Senator  Simon  15 

Scnstor  SoGctcr         -^^ 

Ruben  Castillo,  Chicago,  IL,  to  be  U.S.   District  Judge  for  the  Northern 

District  of  Illinois  18 

Questioning  by: 

Senator  Simon  1° 

Alphabetical  List  and  Materl^l  Submitted 

Benavides,  Fortunate: 

Testimony  15 

Questionnaire 53 

Castillo,  Ruben: 

Testimony  18 

Questionnaire 81 

Collins,  Audrey: 

Testimony  4 

Questionnaire 21 

(III) 


IV 

Page 
Simon,  Hon.  Paul: 

Letter  from  J.  Eugene  Balloun,  Law  Offices  of  Shook,  Hardy  &  Bacon, 
P.C,  Overland  Park,  KS,  Mar.  1,  1994  17 

THURSDAY,  APRIL  21,  1994 

Statement  of  Committee  Member 

Kohl,  Hon.  Herbert  105 

Introduction  of  Nominees 

Pell,  Hon.  Claiborne  107 

Chafee,  Hon.  John  107 

Nunn,  Hon.  Sam  108 

Coverdell,  Hon.  Paul 110 

Lewis,  Hon.  John  110 

Glenn,  Hon.  John 112 

Metzenbaum,  Hon.  Howard  M 112 

Johnston,  Hon.  J.  Bennett  113 

Prepared  statement  113 

Breaux,  Hon.  John  B  114 

Jefferson,  Hon.  William  J  115 

Fields,  Hon.  Cleo 116 

Testimony  of  Nominees 

Carl  E.   Stewart,  Shreveport,   LA,  to  be  U.S.   Circuit  Judge  for  the  Fifth 

Circuit  117 

Questioning  by: 

Senator  Kohl  117 

Senator  Thurmond  119 

James  Carr,  Toledo,  OH,  to  be  U.S.  District  Judge  for  the  Northern  District 

of  Ohio  120 

Questioning  by: 

Senator  Kohl  120 

Senator  Thurmond  122 

Clarence  Cooper,  Atlanta,  GA,  to  be  U.S.  District  Judge  for  the  Northern 

District  of  Georgia  123 

Questioning  by: 

Senator  Kohl  124 

Senator  Thurmond  125 

Frank  M.   Hull,  Atlanta,  GA,  to  be  U.S.   District  Judge  for  the  Northern 

District  of  Georgia  127 

Questioning  by: 

Senator  Kohl  127 

Senator  Thurmond  128 

Mary  M.   Lisi,   Providence,  RI,   to  be  U.S.   District  Judge  for  the  District 

of  Rhode  Island 129 

Questioning  by: 

Senator  Kohl  130 

Senator  Thurmond  131 

W.  Louis  Sands,  Macon,  GA,  to  be  U.S.  District  Judge  for  the  Middle  District 

of  Georgia  132 

Questioning  by: 

Senator  Kohl  132 

Senator  Thurmond  134 

Ai.piiABETiCAL  List  and  Material  Submitted 

Carr,  James: 

Testimony  120 

Questionnaire 167 

Cooper,  Clarence: 

Testimony  123 

Questionnaire 220 


V 

Page 

Hull,  Frank  M.: 

Testimony  127 

Questionnaire 251 

Kohl,  Hon.  Herbert: 

Letter  to  Hon.  Joseph  Biden,  U.S.  Senate,  Washington,  DC,  from  the 

Law  Firm  of  Fortunato  &  Tarro,  Warwick,  RI,  Mar.  15,  1994  106 

Letter  from  E.  Michael  McCann,  district  attorney.  Office  of  District  Attor- 
ney, Milwaukee  County,  Milwaukee,  WI,  Apr.  18,  1994  120 

Lisi,  Mary  M.; 

Testimony  129 

Questionnaire 301 

Sands,  W.  Louis: 

Testimony  132 

Questionnaire 332 

Stewart,  Carl  E.: 

Testimony  117 

Questionnaire 137 

FRIDAY,  APRIL  22,  1994 
Statements  of  Committee  Members 

Feinstein,  Hon.  Dianne  377 

Hatch,  Hon.  Orrin  (prepared  statement)  377 

Introduction  of  Nominees 

Moynihan,  Hon.  Daniel  Patrick  (prepared  statement)  378 

Norton,  Hon.  Eleanor  Holmes 378 

Feinstein,  Hon.  Dianne  379 

Testimony  of  Nominee 

Michael  R.  Bromwich,  to  be  Inspector  General,  U.S.  Department  of  Justice 380 

Questioning  by: 

Senator  Feinstein  381 

Alphabetical  List  and  Material  Submitted 

Bromwich,  Michael  R.: 

Testimony  380 

Questionnaire 384 

Feinstein,  Hon.  Dianne: 

Letters  in  support  of  Michael  R.  Bromwich  from: 

1.  Law  enforcement — U.S.  Attorneys  Office  for  the  Southern  District 
of  New  York: 

Rudolph  W.  Giuliani,  Mar.  10,  1994  454 

Stuart  E.  Abrams,  Feb.  10,  1994  455 

Bruce  A.  Baird,  Feb.  23,  1994  457 

Charles  M.  Carberry,  Feb.  24,  1994  458 

John  K.  Carroll,  Feb.  22,  1994  459 

Alan  M.  Cohen,  Mar.  7,  1994  460 

Denise  Cote,  Feb.  16,  1994  462 

Rhea  Kemble  Dignam,  Feb.  14,  1994  464 

Jess  Fardella,  Feb.  11,  1994  466 

Maria  T.  Galeno,  Feb.  23,  1994 468 

Helen  Gredd,  Mar.  28,  1994  470 

Howard  E.  Heiss,  Feb.  18,  1994 471 

Mark  R.  Hellerer,  Feb.  14,  1994  472 

Annmarie  Levins,  Feb.  24,  1994  474 

Edward  J.M.  Little,  Feb.  22,  1994  476 

Roanne  L.  Mann,  Feb.  15,  1994  477 

Aaron  R.  Marcu,  Feb.  22,  1994  479 

Shirah  Neiman,  Mar.  1,  1994 481 

Benito  Romano,  Feb.  23,  1994  482 

Peter  J.  Romatowski,  Feb.  11,  1994  483 

BartM.  Schwartz,  Feb.  14,  1994  485 


VI 

Page 
Feinstein,  Hon.  Dianne — Continued 

Letters  in  support  of  Michael  R.  Bromwich  from — Continued 

1.  Law  enforcement — U.S.  Attorney's  Office  for  the  Southern  District 
of  New  York — Continued 

Linda  C.  Severin,  Mar.  7,  1994  487 

Paul  Shechtman,  Feb.  15,  1994  489 

2.  Iran-Contra  Counsels: 

Richard  W.  Beckler,  Feb.  17,  1994  491 

David  P.  Doherty,  Mar.  14,  1994  492 

Earl  C.  Dudley,  Jr.,  Mar.  2,  1994  493 

Leonard  Garment,  Feb.  14,  1994  495 

Thomas  C.  Green,  Feb.  22,  1994  496 

N.  Richard  Janis,  Feb.  15,  1994  497 

3.  Federal  judges: 

Robert  L.  Carter,  Feb.  18,  1994  499 

Morris  E.  Lasker,  Feb.  16,  1994  501 

Stanley  Sporkin,  Feb.  14,  1994  503 

4.  Other  Government  officials: 

Kenneth  I.  Juster,  Feb.  14,  1994  505 

Terry  F.  Lenzner,  Feb.  21,  1994  506 

Herbert  J.  Stem,  Feb.  14,  1994  507 

Geoffrey  S.  Stewart,  Feb.  25,  1994  508 

Dan  K.  Webb,  Feb.  17,  1994 510 

FRIDAY,  APRIL  29,  1994 

Statement  of  Committee  Member 

Metzenbaum,  Hon.  Howard  M 511 

Introduction  of  Nominees 

Glenn,  Hon.  John 511 

Mo)Tiihan,  Hon.  Daniel  Patrick  512 

D'Amato,  Hon.  Alfonse  M.  (prepared  statement)  513 

Boren,  Hon.  David  L 513 

de  Lugo,  Hon.  Ron  515 

Prepared  statement 517 

Hodge,  Hon.  Derek  M  518 

Hodge,  Hon.  Verne 521 

Testimony  of  Nominees 

Robert  Henry,  Oklahoma  City,  OK,  to  be  U.S.  Circuit  Judge  for  the  Tenth 

Circuit  522 

Questioning  by: 

Senator  Metzenbaum  522 

Deborah  Batts,  New  York,  NY,  to  be  U.S.  District  Judge  for  the  Southern 

District  of  New  York  524 

Questioning  by: 

Senator  Metzenbaum  524 

Raymond  Finch,  Kingshill,  St.  Croix,  VI,  to  be  U.S.  District  Judge  for  the 

District  of  the  Virgin  Islands  527 

Questioning  by: 

Senator  Metzenbaum  527 

Solomon  Oliver,  Jr.,  Cleveland  Heights,  OH,  to  be  U.S.  District  Judge  for 

the  Northern  District  of  Ohio 531 

Questioning  by: 

Senator  Metzenbaum  o<jO 

Al.PHABETICAL  LiST  AND  MATERIAL  SUBMITTED 

Batts,  Deborah: 

Testimony  524 

Questionnaire 581 

Finch,  Raymond: 

Testimony  527 


VII 

Page 

Finch,  Rajmiond — Continued 

Questionnaire 607 

Henry,  Robert: 

Testimony  ^^-^ 

Questionnaire 535 

Hodge,  Derek  M.: 

List  of  visiting  U.S.   district  court  judges  to  the  U.S.  Virgin  Islands, 

1989-94  519 

OUver,  Solomon,  Jr.: 

Testimony  531 

Questionnaire 631 

THURSDAY,  MAY  12,  1994 

Statement  of  Committee  Member 

Heflin,  Hon.  Howell  665 

Introduction  of  Nominees 

Boren,  Hon.  David  L 665 

Nickles,  Hon.  Don  667 

Wofford,  Hon.  Harris  668 

Specter,  Hon.  Arlen  669 

Norton,  Hon.  Eleanor  Holmes 670 

Hutchison,  Hon.  Kay  Bailey  671 

Brooks,  Hon.  Jack  672 

Andrews,  Hon.  Michael  A  673 

Prepared  statement  673 

Testimony  of  Nominees 

Theodore  McKee,  of  Pennsylvania,  to  be  U.S.  Circuit  Judge  for  the  Third 

Circuit  674 

Questioning  by: 

Senator  Heflin  675 

Billy  Michael  Burrage,  of  Oklahoma,  to  be  U.S.  District  Judge  for  the  North- 
em,  Eastern,  and  Western  Districts  of  Oklahoma  677 

Questioning  by: 

Senator  Heflin  677 

Vanessa  Gilmore,  of  Texas,  to  be  U.S.  District  Judge  for  the  Southern  District 

of  Texas  679 

Questioning  by: 

Senator  Heflin  679 

Terry  C.  Kern,  of  Oklahoma,  to  be  U.S.  District  Judge  for  the  Northern 

District  of  Oklahoma 681 

Questioning  by: 

Senator  Heflin  681 

Gladys  Kessler,  of  the  District  of  Columbia,  to  be  U.S.  District  Judge  for 

the  District  of  Columbia  683 

Questioning  by: 

Senator  Heflin  684 

Emmet  Sullivan,  of  the  District  of  Columbia,  to  be  U.S.  District  Judge  for 

the  District  of  Columbia  686 

Questioning  by: 

Senator  Heflin _686 

Alphabetical  List  and  Material  Submitted 

Burrage,  Billy  Michael: 

Testimony  677 

Questionnaire 724 

Gilmore,  Vanessa: 

Testimony 679 

Questionnaire 764 

Kern,  Terry  C: 

Testimony 681 


VIII 

Kern,  Terry  C. — Continued 

Questionnaire 797 

Kessler  Gladys: 

Testimony  683 

Questionnaire 833 

McKee,  Theodore: 

Testimony  674 

Questionnaire 688 

Sullivan,  Emmet: 

Testimony  686 

Questionnaire 888 

By-Laws  of  Lawyers'  Club  of  Washington,  Nov.  8,   1974,  amended 

May  20,  1982  (section  5)  918 

WEDNESDAY,  MAY  25,  1994 

Statement  of  Committee  Member 

DeConcini,  Hon.  Dennis  923 

Introduction  of  Nominees 

Sarbanes,  Hon.  Paul  S  924 

Hutchison,  Hon.  Kay  Bailey  925 

Brooks,  Hon.  Jack  926 

Mikulski,  Hon.  Barbara  926 

Levin,  Hon.  Carl  927 

Riegle,  Hon.  Donald  W.,  Jr.  (prepared  statement) 928 

Conyers,  Hon.  John,  Jr 929 

Collins,  Hon.  Barbara-Rose 930 

Norton,  Hon.  Eleanor  Holmes 931 

Boxer,  Hon.  Barbara 932 

Simpson,  Hon.  Alan  K  933 

Wise,  Hon.  Robert  E.,  Jr  935 

Testimony  of  Nominees 

Diana  G.   Motz,  Baltimore,  MD,  to  be  U.S.  Circuit  Judge  for  the  Fourth 

Circuit  936 

Questioning  by: 

Senator  DeConcini 936 

Senator  Simpson 938 

Robert  Manley  Parker,  Tyler,  TX,  to  be  U.S.  Circuit  Judge  for  the  Fifth 

Circuit  936 

Questioning  by: 

Senator  DeConcini  937 

Senator  Simpson 941 

Ricardo  M.  Urbina,  Washington,  DC,  to  be  U.S.  District  Judge  for  the  District 

of  Columbia 943 

Questioning  by: 

Senator  DeConcini 942 

Senator  Simpson 951 

Richard  A.  Paez,  Los  Angeles,  CA,  to  be  U.S.  District  Judge  for  the  Central 

District  of  California  943 

Questioning  by: 

Senator  DeConcini 942 

Senator  Simpson 951 

Denise  Page  Hood,  Detroit,  MI,  to  be  U.S.  District  Judge  for  the  Eastern 

District  of  Michigan  944 

Questioning  by: 

Senator  DeConcini 942 

Senator  Simpson 951 

Paul  L.  Friedman,  Washington,  DC,  to  be  U.S.  District  Judge  for  the  District 

of  Columbia 944 

Questioning  by: 

Senator  DeConcini 942 

Senator  Simpson 950 


IX  V 

Page 
William  F.  Downes,  Casper,  WY,  to  be  U.S.  District  Judge  for  the  District 

of  Wyoming  r 945 

Questioning  by: 

Senator  DeConcini ^.T:..; 942 

Senator  Simpson 952 

Alphabetical  List  and  Material  Submitted 

DeConcini,  Hon.  Dennis: 

Letter  in  support  of  Mr.  Downes  from  Mike  Sullivan,  Governor,  and 
Kathy  Karpan,  secretary  of  state.  State  of  Wyoming,  Office  of  the 
Governor,  Cheyenne,  WY,  May  25,  1994  949 

Downes,  William  F.: 

Testimony  945 

Questionnaire 1226 

Letter  to  Chairman  Biden  in  response  to  Senator  Metzenbaum's  written 

questions,  Casper,  WY,  June  7,  1994  1290 

Friedman,  Paul  L.: 

Testimony 944 

Questionnaire 1138 

Hood,  Denise  Page: 

Testimony  944 

Questionnaire 1113 

Motz,  Diana  G.: 

Testimony  936 

Questionnaire 955 

Paez,  Richard  A.: 

Testimony  943 

Questionnaire 1075 

Parker,  Robert  Manley: 

Testimony  936 

Questionnaire 1004 

Urbina,  Ricardo  M.: 

Testimony  943 

Questionnaire 1039 

ALPHABETICAL  LIST  OF  NOMINEES  FOR  FEDERAL  APPOINTMENTS 

Batts,  Deborah,  New  York,  NY,  to  be  U.S.  District  Judge  for  the  Southern 
District  of  New  York  524 

Benavides,  Fortunato,  Austin,  TX,  to  be  U.S.  Circuit  Judge  for  the  Fifth 
Circuit  15 

Bromwich,  Michael  R.,  to  be  Inspector  General,  U.S.  Department  of  Justice  ....      380 

Burrage,  Billy  Michael,  of  Oklahoma,  to  be  U.S.  District  Judge  for  the  North- 
ern, Eastern,  and  Western  Districts  of  Oklahoma  677 

Carr,  James,  Toledo,  OH,  to  be  U.S.  District  Judge  for  the  Northern  District 

of  Ohio  120 

Castillo,  Ruben,  Chicago,   IL,  to  be  U.S.   District  Judge  for  the  Northern 

District  of  Illinois  18 

Collins,  Audrey,  Los  Angeles,  CA,  to  be  U.S.  District  Judge  for  the  Central 

District  of  California  4 

Cooper,  Clarence,  Atlanta,  GA,  to  be  U.S.  District  Judge  for  the  Northern 
District  of  Georgia  123 

Downes,  WiUiam  F.,  Casper,  WY,  to  be  U.S.  District  Judge  for  the  District 
of  Wyoming  945 

Finch,  Raymond,  Kingshill,  St.  Croix,  VI,  to  be  U.S.  District  Judge  for  the 

District  of  the  Virgin  Islands  527 

Friedman,  Paul  L.,  Washington,  DC,  to  be  U.S.  District  Judge  for  the  District 

of  Columbia 944 

Gilmore,  Vanessa,  of  Texas,  to  be  U.S.  District  Judge  for  the  Southern  Dis- 
trict of  Texas  679 

Henry,  Robert,  Oklahoma  City,  OK,  to  be  U.S.  Circuit  Judge  for  the  Tenth 

Circuit  522 

Hood,  Denise  Page,  Detroit,  MI,  to  be  U.S.  District  Judge  for  the  Eastern 

District  of  Michigan  944 

Hull,  Frank  M.,  Atlanta,  GA,  to  be  U.S.  District  Judge  for  the  Northern 
District  of  Georgia 127 


\  X 

r  Page 

Kern,  Terry  C,  of  Oklahoma,  to  be  U.S.  District  Judge  for  the  Northern 

District  of  Oklahoma 681 

Kessler,  Gladys,  of  the  District  of  Colujnb^a,  to  be  U.S.  District  Judge  for 

the  District  of  Columbia  .<:: 683 

Lisi,  Mary  M.,  Providence,  RI,  to  be  U.S.  District  Judge  for  the  Northern 

District  of  Rhode  Island 129 

McKee,  Theodore,  of  Pennsylvania,  to  be  U.S.  Circuit  Judge  for  the  Third 

Circuit  674 

Motz,  Diana  G.,  Baltimore,  MD,  to  be  U.S.  Circuit  Judge  for  the  Fourth 

Circuit  936 

Oliver,  Solomon,  Jr.,  Cleveland  Heights,  OH,  to  be  U.S.  District  Judge  for 

the  Northern  District  of  Ohio 531 

Paez,  Richard  A.,  Los  Angeles,  CA,  to  be  U.S.  District  Judge  for  the  Central 

District  of  California  943 

Parker,  Robert  Manley,  Tyler,  TX,  to  be  U.S.  Circuit  Judge  for  the  Fifth 

Circuit  936 

Sands,  W.  Louis,  Macon,  GA,  to  be  U.S.  District  Judge  for  the  Middle  District 

of  Georgia 132 

Stewart,  Carl  E.,  Shreveport,  LA,  to  be  U.S.  Circuit  Judge  for  the  Fifth 

Circuit  117 

Sullivan,   Emmet,   of  the  District  of  Columbia,  to  be  U.S.   District  Judge 

for  the  District  of  Columbia  686 

Urbina,  Ricardo  M.,  Washington,  DC,  to  be  U.S.  District  Judge  for  the  Dis- 
trict of  Columbia  943 


NOMINATIONS  OF  AUDREY  COLLINS,  TO  BE 
U.S.  DISTRICT  JUDGE;  FORTUNATO  BENA- 
VIDES,  TO  BE  U.S.  CIRCUIT  JUDGE;  AND 
RUBEN  CASTILLO,  TO  BE  U.S.  DISTRICT 
JUDGE 


FRroAY,  MARCH  25,  1994 

U.S.  Senate, 
Committee  on  the  Judiciary, 

Washington,  DC. 

The  committee  met,  pursuant  to  notice,  at  10:44  a.m.,  in  room 
SD-226,  Dirksen  Senate  Office  Building,  Hon.  Carol  Moseley- 
Braun  presiding. 

Also  present:  Senators  Simon,  Feinstein,  and  Specter. 

OPENING  STATEMENT  OF  SENATOR  MOSELEY-BRAUN 

Senator  Moseley-Braun  [presiding].  Ladies  and  gentlemen,  I 
want  to  first  thank  you  for  coming  this  morning.  The  purpose  of 
this  hearing  is  the  confirmation  of  Ms.  Audrey  Collins,  Mr.  Ruben 
Castillo,  and  Mr.  Fortunato  Benavides.  So  we  have  three  judicial 
nominees  to  be  heard  this  morning,  and  we  will  start  first  with  Ms. 
Collins  in  Hght  of  the  fact  that  Senator  Feinstein  has  joined  us. 

Just  by  way  of  explanation  for  those  of  you  who  have  not  been 
through  this  process  as  friends  or  family  of  the  nominees,  the  Con- 
stitution of  the  United  States  in  article  II,  section  2,  in  describing 
Presidential  power,  says  that  the  President  of  the  United  States 
has  the  authority  to  appoint  judges.  There  are  a  number  of  other 
appointments  that  he  is  authorized  obviously  to  make  in  this  sec- 
tion, but  then  it  says  that  he  shall  have  the  power,  by  and  with 
the  advice  and  consent  of  the  Senate,  to  make  treaties  and  appoint- 
ments. 

So  we  are  here  as  representatives  of  the  Senate  in  a  hearing  of 
the  Senate  Judiciary  Committee  to  actually  provide  our  advice  and 
consent  on  the  nominations  as  made.  Most  of  the  nominees  have 
been  through  an  already  exhaustive  process  with  the  Department 
of  Justice,  with  the  administration,  and  sometimes  back  in  their 
home  States,  but  this  is  kind  of  the  last  leg  and  that  is  the  good 
news  for  everyone. 

After  this  hearing,  should  the  committee  vote  to  recommend  the 
nominations,  then  there  is  a  vote  of  the  full  Senate  and,  in  all  like- 
lihood, I  am  trusting  and  hoping  with  all  of  you  that  there  are  no 
glitches  between  today  and  that  final  vote.  But  that  is  the  section 
of  the  Constitution  that  gives  us  the  authority  and  the  power  to  do 
what  we  are  doing  today,  and  I  am  looking  forward  to  chairing  as 

(1) 


much  of  this  hearing  as  possible.  Senator  Simon  is  actually  the 
chair.  He  is  right  now  on  the  Senate  floor  in  the  middle  of  an 
amendment  debate. 

So,  with  that,  as  is  customary,  we  will  hear  first  from  the  Sen- 
ators who  wish  to  introduce  nominees  to  the  committee.  Before  we 
do  start,  again,  each  nominee  has  completed  a  detailed  question- 
naire on  his  or  her  qualifications,  experiences,  finances,  and  philos- 
ophy. The  portions  of  the  questionnaires  available  to  the  public  will 
be  printed  in  the  record  of  this  hearing.  We  will  also  keep  the 
record  open  for  a  limited  time  just  in  case  members  of  the  commit- 
tee would  like  to  submit  written  questions. 

With  that,  I  would  like  to  call  Ms.  Audrey  Collins  and  Senator 
Feinstein  to  introduce  her  to  the  committee. 

The  Senator  from  California. 

STATEMENT  OF  HON.  DIANNE  FEINSTEIN,  A  U.S.  SENATOR 
FROM  THE  STATE  OF  CALIFORNIA 

Senator  Feinstein.  Thank  you  very  much.  Madam  Chairman.  I 
am  very  pleased  to  be  here  today  and  to  introduce  to  you  Audrey 
Collins.  She  is  an  extremely  qualified  Los  Angeles  district  attorney 
whom  I  recommended  for  appointment  to  the  District  Court  for  the 
Central  District  of  California. 

Audrey  Collins  is  1  of  only  3  assistant  district  attorneys  in  the 
Los  Angeles  department  of  900  attorneys.  That  is  the  largest  de- 
partment in  America  and  she  holds  the  third  highest  position  in 
that  department. 

Her  academic  credentials  have  prepared  her  well  for  a  distin- 
guished legal  career.  Having  won  and  maintained  a  4-year  aca- 
demic scholarship  to  Howard  University,  from  which  she  graduated 
Phi  Beta  Kappa,  Ms.  Collins  spent  7  years  as  a  teacher  in  Wash- 
ington, DC,  Indiana,  Colorado,  and  then  moved  to  Los  Angeles. 

Deciding  to  pursue  a  career  in  law,  she  entered  UCLA  Law 
School  in  1974.  Upon  graduating,  she  soon  joined  the  Los  Angeles 
County  district  attorney's  office,  where  she  has  established  a  strong 
reputation  among  her  colleagues  and  supervisors. 

When  I  was  interviewing  candidates  for  the  post,  I  called  District 
Attorney  Gil  Garcetti  to  ask  about  Audrey's  record  in  the  depart- 
ment. He  gave  her  an  unqualified,  enthusiastic  endorsement,  and 
said  that  the  DA's  loss  would  be  the  region's  gain  with  Audrey 
serving  on  the  bench. 

For  the  purpose  of  this  introduction,  I  would  like  to  focus  my  re- 
marks on  her  16-year  career  in  the  DA's  office,  a  career  that  has 
been  marked  by  a  string  of  promotions.  From  1978  to  1987,  the 
nominee  was  deputy  DA.  In  this  capacity,  she  served  from  1980  to 
1983  when  she  worked  in  the  consumer  and  environmental  protec- 
tion division,  where  she  appeared  in  civil  court  frequently. 

From  1983  to  1985,  she  served  as  grand  jury  legal  advisor,  where 
she  assisted  the  grand  jurors  in  their  role  of  civil  oversight  of  the 
county  government.  During  this  time,  the  grand  jury  heard  some 
of  the  most  complex  cases  ever  handled  by  the  district  attorney's 
office,  the  Twilight  Zone  case  and  the  McMartin  Preschool  Molesta- 
tion case. 

For  9  years  during  her  tenure  as  deputy  DA,  she  appeared  in 
criminal  courts  regularly.  With  the  exception  of  her  work  in  the 


consumer  and  environmental  protection  division  and  as  grand  jury 
adviser,  the  nominee  focused  solely  on  criminal  cases  and  her 
record  is  quite  impressive. 

She  was  sole  counsel  and  successfully  tried  more  thgin  200  cases 
to  a  verdict.  These  cases  included  misdemeanor  jury  trials,  mis- 
demeanor and  felony  juvenile  adjudications,  and  felony  adult  court 
and  jury  trials.  The  nominee  estimates  that  90  percent  of  her  cases 
were  tried  before  a  jury.  This  type  of  experience  is  invaluable  as 
a  judge  carefully  weighs  the  facts. 

Among  her  many  cases  during  this  period,  was,  in  1986,  People 
V.  Larry  Charles  McKiever.  This  is  where  the  defendant  had  fire 
jumped  into  a  victim's  car,  forced  her  from  the  car,  stole  her  wallet 
and  drove  away,  leaving  her  behind.  The  defendant  was  arrested 
2  days  later  while  driving  the  victim's  car  and  charged  with  kid- 
napping and  robbery.  He  was  found  guilty  on  all  charges  and  sen- 
tenced to  State  prison  for  life  and  a  5-year  enhancement  for  prior 
conviction. 

Senator  Moseley-Braun.  I  am  sorry.  Senator.  Not  being  from 
California,  what  is  "fire  jumped"? 

Senator  Feinstein.  I  am  sorry;  fired  and  jumped;  in  other  words, 
started  and  jumped. 

Senator  Moseley-Braun.  I  am  sorry.  I  thought  this  was  a  term 
of  art  with  which  I  was  not  familiar. 

Senator  Feinstein.  No,  no,  no. 

In  1986,  in  People  v.  Anthony  Carl  Rogers,  the  defendant  cor- 
nered the  victim,  demanded  money,  £ind  struck  her  in  the  face 
twice  when  she  was  too  slow  in  giving  him  the  money.  The  jury 
found  him  guilty  of  robbery  and  he  was  sentenced  to  5  years  in 
State  prison. 

There  are  other  cases,  as  well,  and  I  won't  go  into  them  now. 
What  I  want  to  say  that  I  think  is  very  interesting  about  this  nomi- 
nee is  when  she  was  in  school  she  originally  believed  she  would 
work  for  defend£ints.  She  was  an  intern  in  the  district  attorney's 
office  and,  in  this  internship,  encountered  victims  really  for  the 
first  time  and  realized  how  many  of  them  were  people  of  color.  So 
she  came  to  identify  with  victims. 

As  part  of  that,  I  think  in  your  questioning  you  will  see  she  has 
got  a  rather  interesting  approach.  In  her  civic  life,  she  has  gone  out 
of  her  way  to  support  victims  and  their  rights,  to  work  with  them, 
to  console  them,  to  help  them.  As  she  just  said  to  me  when  we  were 
informally  discussing  her  record,  she  said,  you  know,  I  have  always 
viewed  that  my  job  as  a  prosecutor  wasn't  really  just  to  get  a  con- 
viction; it  was  to  find  out  what  actually  happened  and  what  the 
truth  was  and  to  be  fair  in  that  regard.  I  think  that  commends  her 
well  for  the  Federal  bench. 

Madam  Chairman,  I  recommend  to  you  with  great  support,  inter- 
est, and  eagerness  the  nomination  of  Audrey  Collins. 

Thank  you. 

Senator  Moseley-Braun.  Thank  you  very  much.  Senator  Fein- 
stein. 

Ms.  Collins,  it  is  now  your  turn.  If  you  would  stand,  please,  to 
take  the  oath?  Do  you  swear  that  the  testimony  that  you  give  in 
this  proceeding  shall  be  the  truth,  the  whole  truth,  and  nothing  but 
the  truth,  so  help  you  God? 


Ms.  Collins.  I  do. 

Senator  Moseley-Braun.  Ms.  Collins,  if  any  members  of  your 
family  are  with  us  today,  please  feel  free  to  introduce  them  at  this 
point. 

TESTIMONY  OF  AUDREY  COLLINS,  LOS  ANGELES,  CA,  TO  BE 
U.S.  DISTRICT  JUDGE  FOR  THE  CENTRAL  DISTRICT  OF  CALI- 
FORNIA 

Ms.  Collins.  Thank  you.  I  would  like  to  introduce  to  the  commit- 
tee my  husband,  Tim  Collins,  who  has  been  my  supportive  partner 
for  over  26  years.  I  could  not  be  here  today  without  him.  I  would 
also  like  to  introduce  my  son,  Tim,  Jr.,  who  is  now  a  second-year 
law  student  at  Yale,  and  I  am  very  proud  of  him.  Unfortunately, 
my  daughter,  Rachel,  could  not  be  here  because  she  just  finished 
starring  in  the  school  play  and  that  caused  her  to  miss  some  school 
work  and  I  just  didn't  feel  that  she  could  afford  to  miss  any  more, 
but  we  are  also  very  proud  of  her. 

Senator  Moseley-Braun.  Thank  you.  If  you  have  an  opening 
statement  to  make. 

Ms.  Collins.  No,  other  than  to  thank  Senator  Feinstein  for  rec- 
ommending my  name  to  the  President  and  to  thank  this  committee 
for  scheduling  the  hearing  in  such  a  prompt,  expeditious  way. 

questioning  by  senator  MOSELEY-BRAUN 

Senator  Moseley-Braun.  Well,  Ms.  Collins,  I  have,  on  behalf  of 
the  committee,  a  few  questions  for  you.  There  has  been  a  great  deal 
of  attention  paid  to  the  Federal  courts'  increased  caseloads  and  the 
resulting  problem  of  docket  backlog.  This  backlog,  of  course,  has 
had  an  adverse  effect  on  litigants  before  the  court  and,  as  Senator 
Feinstein  pointed  out  in  her  eloquent  statement  regarding  your 
concern  for  victims,  has  had  an  adverse  effect  on  victims  and  peo- 
ple who  are  seeking  justice. 

So  the  question  I  have  for  you  is.  If  confirmed,  what  steps  will 
you  take  to  ensure  that  your  docket  progresses  at  as  quick  a  pace 
as  is  fair  and  reasonable? 

Ms.  Collins.  Your  question  certainly  points  out  an  increasing 
problem  nationwide,  and  I  know,  in  the  Central  District  of  Califor- 
nia. In  my  reading  and  preparation,  I  came  across  an  interesting 
statistic.  In  1988,  64  percent  of  the  available  trial  time  was  used 
for  civil  trials,  but  in  the  first  9  months  of  1993  that  figure  of  64 
percent  had  dropped  to  only  42  percent  of  the  available  trial  time 
was  used  for  civil  cases. 

This  is  an  extremely  serious  problem  because  it  goes  to  the  very 
heart  of  the  system  and  possible  denial  of  access  of  litigants  to  the 
central  district.  I  hope  that  my  experience,  both  as  a  prosecutor 
and  as  a  manager  in  the  DA's  office,  will  be  of  assistance  if  I 
should  be  confirmed,  because  as  a  manager,  of  course,  I  have  had 
experience  managing  diverse  bureaus,  all  of  which  have  competing 
and  different  demands  and  needs,  and  one  of  the  things  that  I  have 
learned  to  do  is  to  prioritize  and  to  set  timetables  and  goals. 

Specifically,  I  think  it  is  important  for  a  Federal  district  court 
judge— in  addition  to  all  of  the  other  talents  which  she  or  he  must 
possess,  it  is  important  for  that  person  to  be  an  active  manager, 
and  one  of  the  things  that  I  would  do,  and  I  have  already  begun 


discussing  this  with  Chief  Judge  Byrne,  is  to  very  early  delve  into 
the  caseload  which  I  would  inherit,  learn  those  cases  and  become 
actively  involved  in  managing  them. 

This  would  include  such  things  as  setting  firm  dates  for  discov- 
ery, for  pretrial  settlement  conferences  and  for  trial  dates,  and,  of 
course,  they  would  have  to  be  realistic  depending  on  the  complexity 
of  the  case,  but  to  set  firm  dates  and  then  stick  to  those.  I  would 
also,  as  everyone  in  the  central  district  does  now,  have  mandatory 
pre  trial  settlement  conferences,  and  this  is  a  policy  in  the  central 
district. 

In  addition  to  the  mandatory  pretrial  settlement  conferences 
which  are  in  court,  I  would  hope  to  hold  frequent  telephonic  con- 
ferences, and  this  is  one  of  the  new  methods  that  is  being  employed 
in  order  to  assist  attorneys  in  focusing  early  on  the  issues  that  still 
divide  them  and  focusing  their  attention  on  how  they  can  narrow 
those  issues.  So  I  would  also  do  that. 

Another  step  that  is  being  taken  within  the  central  district  is  for 
the  district  court  judges  to  go  to  the  chief  judge,  when  necessary, 
and  ask  him  to  assign  complex  civil  or  criminal  cases  to  visiting  or 
senior  judges.  I  would  do  that.  In  addition,  I  would  hope  to  work 
very  closely  with  the  magistrates.  I  understand  we  have  excellent 
magistrates  in  the  centr^  district.  I  have  already  met  with  some 
of  them,  and  I  would  hope  to  work  closely  with  them  so  that  they 
could  be  of  assistance  especially  with  discovery  and  nondispositive 
motions  in  the  complex  cases. 

Senator  Moseley-Braun.  If  confirmed  to  the  Federal  bench,  you 
will  face  a  docket  that  includes  a  heavy  criminal  caseload,  as  well 
as  constitutional,  employment,  and  civil  rights  cases.  Certainly,  you 
have  a  great  deal  of  experience  in  criminal  matters,  but  what  steps 
do  you  plan  to  take  to  familiarize  yourself  with  those  areas  of  the 
law  in  which  you  may  have  less  experience? 

Ms.  Collins.  First,  I  have  been  fortunate  in  that  for  about  the 
past  year  as  assistant  district  attorney  one  of  my  duties  has  been 
to  be  the  top  manager  in  our  office  in  the  area  of  personnel,  and 
this  includes  such  issues  as  working  with  the  Americans  With  Dis- 
abilities Act  and  also  working  with  employees  who  are  being  dis- 
ciplined, or  the  recommendation  is  that  they  be  disciplined,  and  I 
make  the  ultimate  decision  as  to  whether  they  will  be  disciplined. 
I  also  deal  with  all  issues  of  harassment  that  come  through  the  dis- 
trict attorney's  office.  So,  fortunately,  I  have  begun  familiarizing 
myself  already  with  the  law  relating  to  the  Americans  With  Dis- 
abilities Act,  harassment,  and  other  employment  issues. 

Since  being  nominated,  I  have  also  begun  studying  the  other 
areas  which  you  mentioned,  specifically  civil  rights  law  and  con- 
stitutional law.  I  have  also  visited  already  with  Chief  Judge  Byrne, 
who  has  been  very  helpful  in  discussing  with  me  caseload  and  case 
procedures. 

I  have  received  materials  from  the  Federal  Judicial  Center  and 
I  am  reviewing  those,  including  some  videotapes,  which  are  excel- 
lent, on  topics  such  as  jurisdiction  and  evidence.  I  have  obtained 
the  Federal  Rules  of  Civil  Procedure  and  Criminal  Procedure  and 
Evidence,  and  I  am  studying  those.  So  I  do  believe  with  those 
steps,  plus  the  excellent  orientation  I  received  yesterday  from  the 
administrative  office  and  my  plans  to  attend  a  week-long  video  pro- 


gram  presented  by  the  Federal  Judicial  Center,  I  will  be  in  good 
shape  to  be  up  to  speed  if  I  should  be  fortunate  enough  to  be  con- 
firmed. 

Senator  Moseley-Braun.  What  would  you  do  if  faced  with  a 
ninth  circuit  precedent  that  controlled  a  matter  before  you  but  with 
which  you  personally  disagreed? 

Ms.  Collins.  Senator,  I  have  a  full  understanding  that,  if  con- 
firmed, it  would  be  my  obligation  to  follow  precedent,  whether  that 
be  a  U.S.  Supreme  Court  or  a  ninth  circuit  case,  and  I  would  have 
absolutely  no  difficulty  in  following  the  doctrine  of  stare  decisis  and 
following  precedent,  no  matter  what  my  personal  opinion  might  be. 

Senator  Moseley-Braun.  Since  graduating  from  law  school,  you 
have  worked  at  the  Los  Angeles  district  attorney's  office  first  as  a 
litigator  and  then  as  an  administrator.  You  have  also  been  involved 
in  a  number  of  professional  organizations  and  have  a  record  of 
doing  pro  bono  assistance  in  the  community  at  large.  In  what  way 
do  you  feel  these  experiences  have  prepared  you  to  serve  as  a  Fed- 
eral district  court  judge? 

Ms.  Collins.  That  is  an  interesting  question  because  I  feel  I 
have  learned  different  things  and  I  have  gained  different  skills 
from  each  of  those  experiences  and  opportunities,  although  there  is 
some  overlap.  As  a  prosecutor — and  all  of  my  litigation  is  in  the 
area  of  prosecution — as  a  prosecutor,  of  course,  first  of  all,  I  have 
learned  criminal  law,  criminal  procedure,  and  evidence,  and  as  I 
have  begun  my  study  of  Federal  criminal  law  and  evidence,  I  am 
happy  to  be  reminded  how  similar  the  Federal  and  the  California 
statutes  are.  So,  that  certainly  has  been  a  good  preparation  for  me, 
should  I  be  confirmed. 

I  have  also  learned,  of  course,  how  the  system  works,  and  al- 
though there  are  some  differences  between  the  State  and  the  Fed- 
eral system,  I  think  that  much  of  this  will  be  transferrable.  I  have 
learned  how  to  try  a  case  and  I  think,  if  confirmed,  it  is  very  help- 
ful as  you  see  a  case  unfolding  before  you  for  you  to  see  if  there 
are  any  problems  ahead  that  you  might  recognize  and  be  able  to 
help  the  attorneys  to  solve. 

More  importantly — and  I  think  I  have  an  idea,  as  I  said,  of  how 
the  system  works — over  90  percent  of  the  cases,  criminal  or  civil, 
never  go  to  trial.  They  are  settled,  and  it  is  important  to  under- 
stand that  actually  that  is  a  fairly  cooperative  process  between  the 
prosecution  and  the  defense,  and  the  judge  sometimes  is  involved — 
sometimes  in  the  State  system  is  involved,  sometimes  is  not.  But 
it  is  important  to  have  an  understanding  of  how  all  the  elements 
of  the  criminal  justice  system  have  to  work  together  to  make  the 
system  work,  and  I  will  bring  that  experience  to  bear  if  I  am  fortu- 
nate enough  to  be  confirmed. 

One  very  important  thing  that  I  bring  is  something  that  the  Sen- 
ator mentioned  in  her  remarks,  and  that  is  a  sensitivity  to  all  of 
the  parties  in  the  system.  I  think  I  was  certainly  well  aware  from 
law  school  of  the  rights  of  the  defendant  and  of  how  respectful  the 
system  is  of  those,  but  it  wasn't  until  I  joined  the  district  attorney's 
office  as  a  summer  law  clerk  that  I  became  sensitized  to  then  needs 
of  the  victims.  I  have  worked  with  that  throughout  my  career,  first 
in  the  courtroom  in  making  sure  the  courtroom  was  a  comfortable, 
accessible  place  for  victims,  who  were  often  elderly,  often  people  of 


color  and  who  really  appreciated  and  enjoyed  working  with  some- 
one who  was  sensitive  and  accommodating  to  their  needs. 

As  an  administrator,  I  have  continued  this  work  because  I  have 
been  the  administrator  in  charge  of  the  victims  and  witnesses  as- 
sistance program  which  serves  that  same  purpose  by  making  vic- 
tims feel  comfortable,  by  providing  financial  assistance  to  victims 
who  have  been  injured,  and  there  is  nothing,  I  think,  more  impor- 
tant that  I  have  done  in  my  career  than  to  be  sensitive  to,  and  ac- 
commodating to,  and  helping  the  victims  of  crime. 

But  probably  the  most  important  thing  that  I  have  learned  and 
that  I  would  bring  to  the  Federal  bench,  if  confirmed,  is  something 
else  that  the  Senator  mentioned,  and  it  is  my  knowledge  that  the 
most  important  thing  a  prosecutor  does  is  not  to  obtain  convictions. 
It  is  to  look  for  truth  and  to  do  justice.  Much  of  the  time,  after  ex- 
amining a  case,  I  felt  that  I  did  justice  by  seeking  a  conviction,  but 
there  were  certainly  times  when  I  thought  that  the  only  way  to  do 
justice  was  to  dismiss  all  or  part  of  the  case,  and  that  core  value, 
that  core  thing  that  I  do  as  a  prosecutor  to  seek  justice  is,  I  think, 
the  same  core  value  that  a  Federal  district  court  judge  has.  I,  as 
a  district  court  judge,  would  be  there  to  do  justice.  So  those  are  the 
things  that  I  would  take  from  my  career  as  a  prosecutor  or  litiga- 
tor. 

On  the  administrative  side — I  mean,  there,  I  think,  is  an  admin- 
istrator in  any  position.  It  is  a  big-picture  type  of  job,  and  there  I 
got  an  idea  not  just  what  happens  in  one  courtroom  or  even  in  one 
courthouse,  but  what  is  going  on  in  the  entire  district  attorney's  of- 
fice, what  is  going  on  in  the  entire  criminal  justice  system,  and 
even  to  some  extent,  as  I  have  struggled  with  budget,  what  is  going 
on  in  all  of  Los  Angeles  County. 

I  have  had  to  learn  to  prioritize,  to  have  timetables  for  all  of  the 
bureaus  that  I  work  with,  to  work  with  personnel,  to  work  with 
needs  for  space,  to  work  with  budget,  especially  in  Los  Angeles 
County  where  we  simply  don't  have  enough  budget  dollars  to  go 
around,  and  I  have  had  to  work  with  the  board  of  supervisors  to 
try  to,  as  an  advocate,  seek  sufficient  funding  for  the  district  attor- 
ney's office. 

I    think,    again,    all    of   these    management    skills    would    be 

transferrable  to  the  Federal  bench  not  only  in  managing  the  docket 

problems  that  we  talked  about,  but  hopefully,  if  I  were  there  for 

a  while  and  got  my  feet  wet,  maybe  even  helping  the  court  overall 

and  contributing  with  such  issues  as  budget  and  space  that  go  on. 

The  third  area  which  you  talked  about,  which  is  my  work  with 
pro  bono  or  professional  organizations — that  has  been  so  important 
to  me,  whether  it  is  going  out  to  a  law  school  and  speaking  to  the 
black  law  students  group,  whether  it  is  working  with  the  black  po- 
lice officers  association,  meeting  with  gang  members  in  South 
Central,  which  I  have  been  doing  recently,  or  whether  it  is  speak- 
ing to  California  women  lawyers  on  gender  bias  or  my  work  with 
the  Committee  of  Bar  Examiners,  as  well  as  the  other  bar  that  I 
have  done,  because  I  feel  I  have  gotten  so  much  out  of  that.  I  have 
felt  that  I  have  contributed  to  the  community,  I  have  contributed 
to  the  bar,  and  not  only  have  I  contributed,  but  I  have  gotten  some- 
thing out  of  that,  too,  and  that  is  balance,  and  also  coUegiality. 


8 

I  think,  if  confirmed  and  I  become  a  Federal  court  judge,  it  is 
still  important  to  have  balance.  It  is  important  to  give  something 
back  to  the  community  and  to  the  bench  and  bar,  and  the 
collegiality  aspect  is  extremely  important,  too,  because  the  bench 
can  be  very  isolating,  I  believe,  based  on  everything  I  have  heard. 
And  it  is  important  to  get  out  there  and  meet  people  that  you 
wouldn't  necessarily  have  met  otherwise,  and  through  my  work 
with  bar  associations  I  have  met  people  well  outside  not  only  the 
district  attorney's  office,  but  outside  criminal  justice.  I  have  met 
civil  lawyers  through  the  Committee  of  Bar  Examiners.  I  have  even 
met  wonderful  public  members  who  aren't  lawyers,  but  people  who 
are  giving  up  their  own  time  from  their  busy  careers — and  some  of 
them  are  college  professors,  retired  military  officers,  and  here  they 
are  contributing  to  the  legal  profession.  What  a  wonderful  example 
they  have  set,  and  meeting  these  people  has  been  enriching,  too, 
and  continuing  this  tjrpe  of  experience,  I  think,  would  help  to  make 
me  a  more  balanced  and  keep  me  a  balanced  individual. 

Senator  Moseley-Braun.  We  have  been  joined  by  Senator  Spec- 
ter. I  have  concluded  my  questions. 

Senator  Simon,  have  you  any  questions? 

Senator  Simon.  I  do  not.  I  apologize  for  getting  here  late.  I  want 
to  thank  my  colleague  for  starting  the  hearing  here.  I  had  an 
amendment  on  the  floor,  which  I  am  pleased  was  accepted  on  the 
floor,  so  I  had  to  get  here  late.  I  apologize  to  the  nominee.  I  don't 
have  any  questions  at  this  point. 

Ms.  Collins.  Thank  you.  I  am  just  pleased,  and  congratulations 
on  your  success  on  the  floor. 

Senator  SiMON.  Thank  you. 

Senator  Moseley-Braun.  Senator  Specter. 

QUESTIONING  BY  SENATOR  SPECTER 

Senator  Specter.  Why  do  you  want  to  be  a  Federal  judge? 

Ms.  Collins.  Being  a  Federal  judge,  I  believe,  would  offer  me  the 
best  opportunity  I  can  think  of  to  serve  the  residents  of  the  central 
district,  which  is  a  seven-county  district,  very  diverse,  and  I  have 
been  in  public  service  ever  since  I  became  a  lawyer,  starting  with 
legal  services,  which  I  worked  for  for  several  months,  and  then 
coming  to  the  district  attorney's  office  for  the  past  16  years.  I  feel 
that  I  have  made  real  contributions  there,  but  that  going  to  the 
Federal  district  court,  if  confirmed,  would  allow  me  to  contribute 
even  more  to  the  residents  who  live  in  this  entire  area. 

It  is  an  opportunity  for  service  that  I  think  will  hopefully  allow 
me  to  continue  to  open  up  and  bring  more  access  to  the  courts, 
which  is  something  that  I  was  discussing  earlier  in  the  sense  of  vic- 
tims' rights,  making  the  courts  more  open  £ind  accessible  to  victims. 
And  I  think  that  one  of  my  strengths  is  that  I  am  good  with  people, 
I  am  a  people  person,  and  that  as  a  Federal  district  court  judge  I 
can  assist  with  making  the  courts  more  accessible,  and  I  think  that 
will  also  help  in  resolving  the  docket  problems. 

As  I  said,  I  think  that  I  will  be  a  good  manager  and  that  I  will 
be  able  to  easily  assume  the  problems  inherent  in  a  crowded  docket 
and  be  able  to  assist  with  that  as  the  courts  are  faced  with  crimi- 
nal and  civil  issues  that  are  really  central  to  our  Nation's  future. 

Senator  SPECTER.  I  note  that  you  were  born  in  Chester,  PA. 


Ms.  Collins.  Yes,  I  was,  and  then  I  lived  in  Yeadon  for  many, 
many  years. 

Senator  Specter.  When  did  you  leave  Pennsylvania? 

Ms.  Collins.  When  I  went  to  college,  that  is  really  when  I  left, 
although,  of  course,  I  continued  to  go  home  for  holidays  and  vaca- 
tions, and  then  when  I  got  married  right  after  graduating  from  col- 
lege, I  did  not  go  back  to  live  in  Pennsylvania  an3rmore.  But,  you 
know,  I  still  miss  Pennsylvania,  Senator,  and  the  seasons.  I  truly 
do.  I  love  California,  but  the  sameness  of  the  terrain  and  the  sea- 
sons often  msike  me  miss  Pennsylvania,  although  I  gather  from  my 
mother,  who  still  lives  in  Lansdowne,  that  this  was  a  real  tough 
winter. 

Senator  Specter.  It  was.  You  have  served  for  a  long  time  as  a 
deputy  district  attorney  in  Los  Angeles.  What  sort  of  work  did  you 
do  there? 

Ms.  Collins.  I  was  privileged  to  have  a  great  variety  of  assign- 
ments. Due  to  the  size  of 

Senator  Specter.  Did  you  try  cases? 

Ms.  Collins.  Oh,  yes. 

Senator  SPECTER.  Murder  cases? 

Ms.  Collins.  Yes.  I  also  was  privileged  to  be  in  our  one  civil  divi- 
sion, which  was  consumer  and  environment. 

Senator  SPECTER.  Do  you  think  it  is  realistic  to  have  mandatory 
life  sentences,  three  strikes  and  you  are  out? 

Ms.  Collins.  Well,  the  legislature  has  now,  as  you  know,  of 
course,  passed  that.  It  is  still  also  on  the  ballot  in  November.  We 
will  see — when  you  say  realistic,  I  don't  know  if  you  are  thinking 
of  the  cost  aspect  of  building  new  prisons. 

Senator  Specter.  What  I  am  thinking  about  is  whether  we  will, 
in  fact,  get  life  sentences.  My  own  view,  after  having  experience  as 
a  district  attorney,  is  that  justice  needs  to  be  individualized  and 
that  whatever  you  say  by  way  of  mandating  judges  or  the  system, 
the  system  and  judges  find  a  way  not  to  follow  the  mandate  if  they 
feel  it  is  unfair. 

What  I  have  been  advocating  since  I  was  elected  in  1980  is  to 
try  to  get  realistic  rehabilitation  for  juveniles,  first  offenders  and 
second  offenders — literacy  training  and  job  training — so  that  they 
have  a  chance.  I  think  that  if  they  fail  after  a  conviction  and  come 
back  a  second  time  and  have  rehabilitation  opportunities  and  fail 
and  come  back  on  a  third  offense  for  violent  crime,  at  that  juncture 
it  is  realistic  to  get  a  judge  to  impose  a  life  sentence.  But  absent 
that,  I  think  three  strikes  and  you  are  out  is  hollow  rhetoric,  and 
we  can  mandate  all  we  like,  but  it  will  not  happen. 

I  would  be  interested  in  your  experience,  since  I  note  you  were 
in  the  district  attorney's  office  for  some  16  years.  You  outrank  me 
by  a  couple  of  years.  What  do  you  think? 

Ms.  Collins.  I  guess  it  is  really  too  soon  to  say.  I  can  tell  you 
that  originally  our  district  attorney,  Gil  Garcetti,  favored  a  three- 
strikes  bill  that  was  somewhat  more  narrowly  drawn  than  the  ver- 
sion that  ultimately  passed.  But  now  that  that  is  the  law,  the  ver- 
sion that  passed,  of  course,  the  district  attorney's  office  is  commit- 
ted to  and,  in  fact,  will  vigorously  enforce  it.  I  think,  only  having 
been  in  law  for  a  couple  of  weeks,  it  is  too  soon  to  say. 


10 

The  bill  itself,  as  I  understand  it — and  I  have  only  looked  at  it 
slightly —  really  removes  most  of  the  discretion  that  judges  would 
otherwise  have.  Even  the  second  strike  is  double  the  normal  term, 
and  the  third  strike,  which  need  not  be  for  a  serious  or  violent  fel- 
ony, then  does  mandate,  as  you  have  stated,  life  without  possibility 
of  parole. 

The  district  attorney's  office,  of  course,  too,  is  mandated  to,  and 
will,  not  only  file,  but  file  prior  felony  convictions  as  required.  So 
I  would  anticipate,  and  I  kiiow  that  there  will  be  legal  challenges 
to  this.  It  is  my  understanding  that  the  defense  bar  is  already 
planning  to,  if  they  have  not  already,  file  such  challenges.  So  I  sup- 
pose it  is 

Senator  Specter.  They  will  probably  come  right  into  Federal 
court,  your  Federal  court. 

Ms.  Collins.  It  is  even  conceivable  that  that  could  be  before  me, 
yes,  if  I  am  confirmed. 

Senator  Specter.  Thank  you  very  much.  Thank  you,  Mr.  Chair- 
man, or  Madam  Chairmsin,  whoever  is  the  chairman. 

Senator  Moseley-Braun.  Well,  almost  the  chairman,  just  for  a 
few  more  seconds. 

Thank  you  very  much.  Again,  this  is  the  last  leg  of  a  long  process 
for  you  and  we  are  all  delighted  to  see  such  a  stellar  nominee  com- 
ing out  of  California,  but  then  we  would  expect  nothing  less  of  Sen- 
ator Feinstein.  Thank  you  very  much,  Ms.  Collins. 

Ms.  Collins.  Thank  you,  and  it  has  been  a  pleasure  every  step 
along  the  way,  and  certainly  including  today.  It  is  an  honor.  Thank 
you  very  much. 

Senator  Moseley-Braun.  Thank  you. 

We  will  now  call  Ruben  Castillo. 

Senator  SiMON.  Well,  before  we  call  Mr.  Castillo,  since  Senator 
Hutchison  and  Congressman  Jack  Brooks  are  here,  why  don't  we 
let  them  introduce  their  candidate,  and  then  we  will  call  on  Mr. 
Castillo. 

Senator  Moseley-Braun.  Since  seniority  still  has  a  role  to  play 
in  this  legislative  body.  Senator  Simon  is  the  senior  Member  from 
Illinois  and  the  senior  member  on  this  committee,  so  I  am  going 
to  pass  the  gavel  on  to  him. 

OPENING  STATEMENT  OF  SENATOR  SIMON 

Senator  Simon  [presiding].  Well,  I  thank  you  very  much. 

We  welcome  the  nominee  from  the  State  of  Texas,  and  I  don't 
know  if  either  of  you  has  a  preference 

Mr.  Brooks.  I  think  we  ought  to  let  the  distinguished  junior 
Senator  from  Texas,  the  lovely  lady  from  La  Margue  in  my  district, 
though  she  be  a  Republican,  introduce  first. 

Senator  Simon.  Senator  Hutchison,  be  careful  when  Jack  Brooks 
praises  you.  I  have  learned  that  over  the  years.  [Laughter.] 

Mr.  Brooks.  Now,  Paul,  don't  give  her  all  that.  Just  let  her  go 
on  and  talk,  will  you? 

Senator  SiMON.  All  right.  We  are  pleased  to  have  you  here  for 
any  statement  you  may  make. 


11 

STATEMENT  OF  HON.  KAY  BAILEY  HUTCHISON,  A  U.S. 
SENATOR  FROM  THE  STATE  OF  TEXAS 

Senator  Hutchison.  Thank  you,  Mr.  Chairman.  I  will  say  that 
I  appreciate  the  deference  of  the  dean  of  the  Texas  delegation  in 
Congress.  I  thought  that  Ms.  Moseley-Braun  made  a  very  good 
point  about  seniority,  and  we  are  very  proud  to  have  Jack  Brooks 
as  the  dean.  He  has  represented  the  district  I  grew  up  in  for  all 
of  my  life,  so  we  have  known  each  other  for  a  long  time. 

It  is  my  pleasure  to  be  here  to  introduce  you  to  Pete  Benavides. 
I  have  known  Pete  for  a  long  time.  He  is  the  law  partner  now  of 
a  very  good  friend  of  mine,  who  is  also  one  of  the  members  of  my 
judicigil  advisory  committee,  Morris  Atlas.  I  was  very  surprised  that 
Mr.  Benavides  decided  to  go  back  into  the  judiciary.  He  has  a  long 
record  of  distinguished  service  as  a  judge  in  Hidalgo  County,  as  a 
State  district  judge  there,  and  also  served  on  the  State  Court  of  Ap- 
peals and  the  Texas  Court  of  Criminal  Appeals. 

So  he  has  been  in  public  service  all  his  life  and  just  went  into 
private  practice,  and  I  asked  him  why  he  decided  to  take  the  oath 
of  poverty  once  again  and  go  back  into  the  judiciary,  but  I  am  very 
pleased  that  he  did  because  I  think  he  will  serve  well  on  the  fifth 
circuit  and  I  am  very  proud  to  be  here  to  support  him. 

Senator  Simon.  Thank  you  very  much. 

It  is  a  pleasure  to  welcome  Jack  Brooks,  who  is  a  genuine  public 
servant  and,  in  addition,  an  enjoyable  guy  to  be  with  and  work 
with.  I  served  with  him  10  years  in  the  House.  When  you  refer  to 
him  as  the  dean  of  your  delegation,  I  remember  Wright  Patman. 
Things  have  changed  now  that  you  are  the  dean  over  there. 

Senator  HUTCHISON.  Does  that  make  you  feel  old,  Mr.  Chairman? 

Senator  Simon.  Dean,  we  welcome  you. 

STATEMENT  OF  HON.  JACK  BROOKS,  A  REPRESENTATIVE  IN 
CONGRESS  FROM  THE  STATE  OF  TEXAS 

Representative  Brooks.  Thank  you  very  much.  Senator.  I  am  de- 
lighted to  be  here  to  introduce  Fortunato  "Pete"  Benavides,  a  nomi- 
nee for  the  U.S.  Court  of  Appeals  for  the  Fifth  Circuit,  to  my  long- 
time colleagues  in  the  Senate. 

Judge  Benavides  has  had  a  notable  career  in  the  Texas  judicial 
system,  during  which  he  authored  more  than  500  judicial  opinions 
in  both  criminal  and  civil  cases.  He  has  been  praised  by  both  the 
prosecutors  and  the  defense  attorneys  for  his  work,  and  he  is 
known  for  his  compassion  and  fair-mindedness. 

He  was  bom  and  educated  in  Texas.  Judge  Benavides  is  dedi- 
cated to  serving  the  community  outside  the  courtroom  as  well.  This 
commitment  is  highlighted  by  his  establishment,  when  he  was  a 
county  judge,  of  a  center  for  troubled  teenagers.  In  other  words,  he 
was  an  early  believer  in  alternative  correction,  particularly  for 
young  offenders. 

I  believe  that  Judge  Benavides  is  well  prepared  for  a  position  on 
the  U.S.  Court  of  Appeals  and  will  do  an  excellent  job  on  the  fifth 
circuit  in  New  Orleans.  His  experience  will  serve  this  country  well. 
I  would  recommend  him  to  you. 

Senator  SiMON.  We  thank  you.  We  have  a  statement  also  that  we 
will  enter  in  the  record  from  Congressman  de  la  Garza  regarding 
you,  Judge. 


12 

[The  prepared  statement  of  Mr.  de  la  Garza  follows:] 

Prepared  Statement  of  E  (Kika)  de  la  Garza,  a  Representative  in  Congress 

From  the  State  of  Texas 

Mr.  Chairman,  it  is  very  unfortunate  that  I  cannot  be  present  today  to  introduce 
the  Honorable  Fortunate  "Pete"  Benavides  who  has  been  nominated  by  the  Presi- 
dent for  the  position  of  Circuit  Judge  for  the  5th  Circuit  in  Texas.  The  reason  for 
my  absence  is  the  death  of  a  close  and  longtime  friend  which  has  necessitated  my 
returning  to  Texas.  Were  it  not  for  that  I  would  be  with  you  this  morning. 

Judge  Benavides  is  someone  I  have  known  for  many,  many  years.  I  think  very 
highly  of  him  and  hold  him  in  the  highest  regard.  I  am  also  fiilly  acquainted  with 
his  work.  He  has  had  a  very  distinguished  career.  Not  only  is  he  thoroughly  quali- 
fied but  he  has  an  extiaordinary  knowledge  which  makes  him  an  ideal  candidate 
for  this  position. 

There  are  many  accolades  I  could  bestow  on  Judge  Benavides  but  I  think  his 
record  speaks  for  itself.  To  that  I  can  only  add  he  is  truly  exceptional.  I  am  proud 
to  know  him  and  to  call  him  my  friend. 

Thank  you. 

Senator  SiMON.  Judge,  we  will  call  on  Mr.  Castillo  and  then  we 
will  ask  you  back — ^you  are  not  going  to  get  off  that  easily  here, 
Judge, 

Judge  Benavides.  I  understand. 

Senator  SiMON.  But  do  you  have  members  of  your  family  you 
would  like  to  introduce  here,  or  friends? 

Judge  Benavides.  My  family  wasn't  able  to  come  up  here.  I  do 
have  a  cousin  that  is  a  doctor  at  George  Washington  University 
that  drove  across  town,  Minerva  Gorena,  my  first  cousin,  originally 
from  Edinburg,  TX. 

Senator  SiMON.  We  welcome  you  here. 

Senator  Specter.  Chairman  Brooks,  I  said  to  Senator  Simon, 
will  Chairman  Brooks  stand  for  questions?  We  don't  often  see  you 
at  a  witness  table  over  here. 

Mr.  Brooks.  With  a  clear  conscience,  it  is  no  problem. 

Senator  Specter.  I  am  sorry.  I  didn't  hear  you. 

Mr.  Brooks.  I  say  if  you  have  a  clear  conscience,  it  is  no  worry, 
no  problem. 

Senator  Specter.  Well,  I  presume  you  mean  your  conscience,  not 
mine.  [Laughter.] 

It  is  a  pleasure  to  see  you  here,  and  I  will  not  try  any  questions 
for  fear  of  the  response. 

It  is  nice  to  see  you.  Senator  Hutchison. 

Mr.  Brooks.  Give  your  wife  our  best. 

Senator  Specter.  Thank  you. 

Senator  SiMON.  We  thank  you  both.  Judge,  we  will  excuse  you 
temporarily. 

Judge  Benavides.  Before  they  leave,  I  would  like  to  thank  the 
Senator  and  the  Congressman  for  being  here  and  introducing  me. 

Senator  Simon.  You  are  under  good  auspices. 

Mr.  Castillo,  if  you  can  go  up  there,  we  are  going  to  hear  from 
my  colleague.  Senator  Carol  Moseley-Braun  here  first. 

STATEMENT  OF  HON.  CAROL  MOSELEY-BRAUN,  A  U.S. 
SENATOR  FROM  THE  STATE  OF  U^LINOIS 

Senator  Moseley-Braun.  Thank  you  very  much,  Mr.  Chairman. 
I  am  proud  to  be  here  today  to  introduce  Mr.  Ruben  Castillo,  the 
nominee  for  U.S.  district  court  judge  for  the  Northern  District  of 
Illinois.  I  am  even  prouder  to  be  able  to  say  that  I  was  able  to  play 


13 

a  part  in  selecting  this  outstanding  nominee,  and  for  that  I  am 
eternally  grateful  to  you,  Senator  Simon.  We  have,  as  you  know, 
a  judicial  merit  selection  commission  back  in  Illinois  that  you  es- 
tablished, and  you  were  gracious  enough  to  allow  me  to  play  a  co- 
equal part  in  that  process  and  I  am  mindful  of  it  and  grateful  to 
you  for  that. 

When  Mr.  Castillo  is  confirmed  by  the  U.S.  Senate,  and  I  am  cer- 
tain that  he  will  be,  he  will  become  the  first  Latino  Federal  judge 
in  the  State  of  Illinois.  The  son  of  immigrant  parents — his  father, 
Ruben,  Sr.,  emigrated  from  Mexico;  his  mother.  Carmen,  from 
Puerto  Rico — ^Ruben  Castillo  embodies  the  American  dream.  He  is 
the  first  member  of  his  family  to  finish  college,  and  it  was  his  par- 
ents who  encouraged  him  to  pursue  higher  education  and  instilled 
in  him  a  love  of  learning  that  led  him  to  Loyola  University  in  Chi- 
cago. 

It  was  then  that  he  had  his  first  experience  with  the  law,  work- 
ing nights  as  a  clerk  in  Cook  County  Circuit  Court  to  put  himself 
through  school.  After  graduation  from  Loyola,  Mr.  Castillo  went  on 
to  Northwestern  University  School  of  Law,  one  of  the  finest  law 
schools  in  the  country.  I  must  say  there  are  people  on  the  south 
side  of  Chicago  at  the  University  of  Chicago  who  argue  that  a  little 
bit,  but  nonetheless  Northwestern  is  certainly  one  of  the  finest  law 
schools  in  the  country.  We  are  blessed  to  have  a  multitude  of  riches 
in  that  regard  in  Chicago. 

Ruben  Castillo  started  his  career  in  the  law  with  the  firm  of  Jen- 
ner  &  Block  which,  as  you  know,  is  one  of  the  largest,  most  pres- 
tigious firms  in  Chicago,  and  in  the  country  indeed,  leaving  after 
5  years  there  to  become  assistant  U.S.  attorney,  prosecuting  crimi- 
nal cases.  His  involvement,  in  fact,  one  case,  prosecuting  a  drug 
kingpin,  resulted  in  a  contract  being  placed  on  his  life  and  he  and 
his  family  were  forced  to  receive  24-hour  police  protection  for  a 
time.  Happily,  that  threat  was  resolved  with  no  physical  harm  to 
him  or  to  his  family. 

Mr.  Castillo  left  the  U.S.  attorney's  office  in  1988  to  serve  as  di- 
rector and  regional  counsel  for  the  Mexican  American  Legal  De- 
fense and  Education  Fund,  known  as  MALDEF.  Under  his  leader- 
ship, MALDEF  filed  and  won  a  suit  challenging  the  congressional 
districts  drawn  up  after  the  1990  census.  That  lawsuit  was  success- 
ful and  it  resulted  in  the  first  majority  Hispanic  district  to  be  cre- 
ated in  Illinois,  and  that,  of  course,  led  to  the  election  of  Luis 
Guttierez,  the  State's  first  Latino  Congressman.  Mr.  Castillo  head- 
ed MALDEF  until  1991,  when  he  left  to  become  the  first  Latino 
partner  at  the  prestigious  Chicago  law  firm  of  Kirkland  &  Ellis. 

I  don't  want  to  take  up  too  much  of  the  committee's  time  in  this 
regard,  but  before  I  conclude  I  would  like  to  mention  just  a  few  of 
the  charitable  activities  that  Mr.  Castillo  has  devoted  himself  to 
over  the  years.  He  is  a  member  of  the  advisory  boards  of  the  Chil- 
dren and  Family  Justice  Center  of  Northwestern  University,  the 
Chicago  Legal  Clinic,  and  Business  and  Professional  People  for  the 
Public  Interest.  He  was  appointed  by  Mayor  Daly  to  serve  on  a 
blue  ribbon  panel  to  recommend  revisions  to  Chicago's  minority 
and  female  set-aside  programs,  and  he  is  a  member  of  the  North- 
ern District  Court's  Civil  Justice  Reform  Act  Advisory  Group.  He 
has  been  awarded  the  Chicago  Bar  Association's  Maurice  Weigle 


Award  for  outstanding  service  to  the  legal  profession,  the  Attorney 
of  the  Year  Award  from  MALDEF,  and  the  Community  Service 
Award  by  the  Latin  American  Police  Association. 

Of  course,  Mr.  Chairman,  our  merit  selection  committee  highly 
recommended  him.  His  respect  for  the  law  and  commitment  to  pub- 
lic service  and  integrity  are  noteworthy  and  were  the  basis  for  their 
recommendation  to  us.  I  am  delighted  to  introduce  him  to  the  com- 
mittee and  to  make  this  nomination. 

I  believe,  as  you  are  well  aware,  Mr.  Chairman,  that  Ruben 
Castillo  is  an  outstanding  attorney,  one  who  brings  to  the  bench  a 
rich  history  of  involvement  in  the  field  of  public  interest  law,  and 
I  am  proud  to  introduce  him  to  the  committee  today  and  hope  that 
the  Senate  will  act  quickly  on  his  nomination  so  that  he  may  be 
confirmed. 

Thank  you. 

Senator  Simon.  Thank  you.  Senator  Moseley-Braun.  Let  me  just 
add,  in  the  process  we  had  138  lawyers  who  applied  for  the  3  va- 
cancies. The  commission  recommended  10  out  of  138.  You  are  talk- 
ing about  some  quality  people  there.  Senator  Moseley-Braun  and  I 
interviewed  all  10  and  made  the  3  recommendations. 

Not  only  did  you  make  a  good  impression  on  us  personally  in  our 
interview,  but  in  informal  conversations  I  had  with  people,  and  I 
am  sure  Senator  Moseley-Braun  had  the  same  experience,  people 
spoke  very  highly  of  you  and  I  was  pleased  to  join  my  colleague  in 
sending  the  recommendation  to  the  Justice  Department  and  the 
White  House. 

I  think  you  have  members  of  your  family  here  with  you.  Would 
you  like  to  introduce  them,  Mr.  Castillo,  and  any  other  friends  that 
you  may  have  here? 

Mr.  Castillo.  Yes,  I  would.  Thank  you.  Senator.  First,  I  would 
like  to  introduce  my  wife  and  life  partner,  Sylvia  Mojica-Castillo; 
my  daughter,  Francisca  Castillo;  my  son,  Roberto  Castillo;  my  fa- 
ther, Ruben  Castillo;  my  mother.  Carmen  Castillo;  my  mother-in- 
law,  Ramona  Mojica;  my  father-in-law,  Felix  Mojica;  my  sister-in- 
law.  Ester  Rodriguez.  And  I  have  two  good  friends,  Martin  Castro, 
who  is  president  of  the  Mexican  American  Lawyers  Association, 
and  a  former  trial  partner  and  colleague  of  mine  from  the  Justice 
Department,  Mary  Harkenreiter. 

Thank  you. 

Senator  SiMON.  Well,  we  are  very  happy  to  have  all  of  them  here, 
and  I  might  add  that  one  of  your  guests  is  a  brother  of  a  staff 
member  of  mine,  which  you  probably  are  aware  of. 

I  do  have  a  serious  question  for  those  two  young  people.  Are  you 
skipping  school  today?  [Laughter.] 

Mr.  Castillo.  They  refuse  to  answer  that  question  on  the  advice 
of  their  counsel.  [Laughter.] 

Senator  Simon.  All  right.  Well,  we  thank  you. 

If  I  could  ask  both  Judge  Benavides  and  Mr.  Castillo,  if  you  could 
stand  and  raise  your  right  hands?  Do  you  swear  to  tell  the  truth, 
the  whole  truth  and  nothing  but  the  truth,  so  help  you  God? 

Judge  Benavides.  I  do. 

Mr.  Castillo.  I  do. 

Senator  SiMON.  Under  our  usual  procedure,  we  would  take  Judge 
Benavides  first,  but  are  you  leaving  now? 


15 

Senator  Moseley-Braun.  Thank  you,  Mr.  Chairman.  I  have  to 
leave,  and  in  light  of  the  fact  that  we  have  already  asked  the  ques- 
tions that  would  be  put  to  Mr.  Castillo,  I  unfortunately  will  not  be 
able  to  put  questions  to  Mr.  Benavides.  But  at  the  same  time,  we 
have  a  very  busy  Senate  schedule  and  I  have  to  get  back. 

Senator  SiMON.  All  right. 

Senator  Moseley-Braun.  But  I  know  it  is  being  left  in  great 
hands. 

Senator  SiMON.  In  that  event,  I  will  follow  precedent,  and  the 
nominee  for  the  higher  court  gets  precedence  over  the  district 
judge,  I  have  to  tell  you. 

Mr.  Castillo.  I  completely  understand.  Senator. 

Senator  SiMON.  You  will  get  used  to  that.  [Laughter.] 

Judge,  we  are  very  pleased  to  have  you  here  as  a  nominee.  I 
have  looked  through  your  background.  I  note  that,  among  other 
things,  you  belong  to  a  group  in  Corpus  Christi  called  the  Mus- 
tangs. Tell  me  about  the  Mustangs.  I  assume  this  is  not  an  organi- 
zation that  discriminates  or  would  in  any  way  disqualify  you  from 
serving  on  the  court  of  appeals. 

TESTIMONY  OF  FORTUNATO  BENAVTOES,  AUSTIN,  TX,  TO  BE 
U.S.  CIRCUIT  JUDGE  FOR  THE  FIFTH  CIRCUIT 

Judge  Benavides.  No.  I  think  there  are  some  that  might  come 
from  the  name  Mustangs,  and  I  can  assure  you  that  you  needn't 
worry  about  that.  Actually,  the  Mustangs  of  Corpus  Christi,  to 
which  I  formerly  belonged,  is  a  very  loose  service  association.  I  did 
not  apply  for  that  position,  but  you  just  get  asked  to  join  a  club 
or  an  association  of  people  that  get  together,  donate  food,  cook  food 
and  serve  food  for  non-profit  educational  or  charitable  organiza- 
tions. It  owns  no  facilities,  no  clubs,  no  swimming  pools,  no  res- 
taurants or  dining  halls  or  anything  of  that  nature. 

QUESTIONING  BY  SENATOR  SIMON 

Senator  SiMON.  All  right.  My  staff  has  just  handed  me  a  note 
that  we  are  going  to  have  a  roUcall  vote  in  about  15  minutes,  so 
I  am  going  to  be  very  brief.  That  may  be  a  break  for  both  you  and 
Mr.  Castillo  here. 

Let  me  ask  the  question  that  Senator  Specter  asked  the  previous 
nominee.  Why  do  you  want  to  become  a  Federal  judge? 

Judge  Benavides.  That  is  a  very  good  question.  Senator.  I  have 
had  the  good  fortune  and  the  honor  to  have  served  on  various 
courts  in  the  State  of  Texas — county  court,  district  court,  court  of 
appeals,  and  then  on  the  State's  highest  court,  the  court  of  last  re- 
sort in  criminal  matters.  I  enjoyed  the  work.  I  feel  competent  in 
doing  that  work,  and  it  also  provides  an  avenue  for  a  deep  sense 
of  feeling  or  commitment  that  I  have  toward  serving  my  people,  my 
community  and  my  country,  and  it  provides  just  a  fantastic  avenue 
by  which  I  can  fulfill  that  drive  or  desire,  whatever  one  might  call 
that. 

Senator  SiMON.  I  just  received  a  letter  from  a  Federal  judge  in 
the  Central  District  in  Illinois,  Judge  Harold  Baker,  who  said  that 
he  was  going  to  request  to  go  on  senior  status,  and  he  says  that 
as  I  look  for  his  successor  I  ought  to  be  looking  for  someone  who, 


16 

among  other  things,  is  sensitive  to  those  less  fortunate.  I  couldn't 
agree  more.  That  is  one  of  the  things  that  is  important. 

Obviously,  the  law  has  to  be  applied  regardless,  but  that  sen- 
sitivity does  make  a  difference  in  the  kind  of  judge  you  are,  wheth- 
er it  is  on  the  court  of  appeals  or  a  district  judge.  What  in  your 
background  suggests  that  you  have  that  sensitivity? 

Judge  Benavides.  Well,  we  can  start  probably  with  my  father, 
who  was  bom  in  Mexico  and  came  to  this  country  to  work  and 
fought  in  World  War  II  and  was  wounded.  It  makes  it  very  difficult 
to  forget  your  roots  when  you  are  still  so  close  to  the  ground.  I  have 
worked  with  juveniles,  devoted  much  of  my  time  to  working  with 
children.  I  have  had  support  in  my  campaigns  from  ethnic  organi- 
zations, from  women's  organizations. 

I  am  from  south  Texas,  Senator  Simon,  the  deep  part  of  south 
Texas,  and  it  is  a  very  political  area.  It  is  over  80  percent  Hispanic 
and  politics  plays  a  great  part  in  daily  lives.  People  read  the  papers 
and  know  who  their  politicians  are  and  know  what  the  issues  are, 
and  there  is  always — ^you  grow  up  with  the  idea  of  don't  forget  who 
you  are,  and  I  don't  think  that  I  have  forgotten  who  I  am.  I  don't 
think  that  I  can  ever  forget  who  I  am  or  where  I  come  from  and 
the  roots  that  I  have. 

Senator  SiMON.  Senator  Specter? 

QUESTIONING  BY  SENATOR  SPECTER 

Senator  Specter.  You  had  been  a  State  court  judge? 

Judge  Benavides.  Yes,  Senator. 

Senator  SPECTER.  And  why  did  you  leave  that  position? 

Judge  Benavides.  Well,  if  you  are  talking  about  the  last  State 
court  position,  I  did  not  make  that  decision,  Senator.  The  people  of 
the  State  of  Texas  made  that  decision  when  I  was  on  the  court  of 
criminal  appeals  and  I  lost  a  statewide  race. 

Senator  Specter.  That  probably  speaks  to  your  credit.  [Laugh- 
ter.] 

Senator  Simon  I  don't  think  has  lost  as  many  elections  as  I  have, 
so  he  really  wouldn't  understand  it  as  well  as  I  do. 

Senator  SiMON:  Well,  I  have  experienced  that,  too. 

Senator  Specter.  That  sounds  like  a  solo  loss,  the  way  he  said 
it. 

I  do  not  know  the  details  of  your  judicial  service.  How  long  were 
you  on  the  State  bench? 

Judge  Benavides.  Senator,  I  was — a  little  over  15  years.  I  served 
at  every  level.  I  was  a  county  court  at  law  judge,  which  is  a  trial 
court  judge  for  misdemeanors. 

Senator  SPECTER.  From  1981  to  1984? 

Judge  Benavides.  Right.  Then  I  was  a  district  court  judge,  which 
is  the  highest  trial  court  bench,  civil  and  criminal,  and  then  I  was 
on  the  court  of  appeals  in  Corpus  Christi,  which  was  a  direct  appel- 
late court  for  civil  and  criminal  cases,  for  approximately  6V2  years, 
and  then  the  court  of  criminal  appeals  for  almost  2  years,  which 
was  a 

Senator  Specter.  Is  that  the  one  that  you  stood  for  election  and 
lost? 

Judge  Benavides.  Yes.  That  is  a  court  of  last  resort  in  criminal 
cases. 


17 

Senator  SPECTER.  Well,  I  have  seen  your  electoral  process  in 
Texas  and  I  have  wondered  about  it.  The  Pennsylvania  Supreme 
Court  has  been  a  source  of  national  and  international  wonderment 
as  to  what  goes  on  in  our  court.  I  hope  some  day  we  can  take  State 
court  judges  out  of  elective  politics. 

The  fifth  circuit  certainly  is  a  prestigious  and  very,  very  impor- 
tant court.  With  a  very  limited  number  of  grants  of  cert,  the  courts 
of  appeals  have  realistically  become  the  court  of  last  resort  on  mat- 
ters of  enormous  importance. 

I  received  a  letter  from  a  high  school  classmate  of  mine,  an  attor- 
ney in  Kansas,  Gene  Balloun,  which  I  would  like  to  make  part  of 
the  record,  Mr.  Chairman. 

Senator  Simon.  It  will  be  entered  in  the  record. 

[The  letter  referred  to  follows:] 

Law  Offices, 
Shook,  Hardy  &  Bacon  P.C, 
Overland  Park,  KS,  March  1,  1994. 

Hon.  Arlen  Specter, 
U.S.  Senate, 
Washington,  DC. 

Dear  Arlen:  The  Senate  Judiciary  Committee  will  soon  be  considering  the  nomi- 
nation of  F.P.  (Pete)  Benavides  for  appointment  as  a  judge  of  the  Court  of  Appeals 
for  the  Fifth  Ciroiit.  I  would  like  to  give  my  wholehearted  endorsement  to  Judge 
Benavides,  and  iirge  you  to  support  his  appointment. 

I  did  not  know  Judge  Benavides  until  this  past  year.  However,  we  have  both  been 
representing  defendants  in  some  extremely  complicated  litigation  in  Texas.  As  a  re- 
sult of  these  encounters,  I  have  had  an  opportunity  to  observe  his  Utigation  skills, 
demeanor  and  judgment. 

In  my  opinion.  Judge  Benavides  will  make  an  outstanding  appellate  judge.  He  is 
well  qualified  by  virtue  of  his  extensive  judicial  experience.  More  importantly,  he 
has  the  character  and  temperament  to  make  an  outstanding  judicial  officer. 

Judge  Benavides  did  not  ask  me  to  write  this  letter.  I  called  him  and  offered  to 
do  so,  since  I  have  been  so  impressed  with  his  abilities. 

Many  thanks  for  your  consideration. 
Sincerely, 

J.  Eugene  Balloun. 

Senator  Specter.  Gene  has  worked  with  you  on  a  case  where 
you  were  working  on  the  same  case  representing  defendants.  He 
described  it  as  complex  litigation,  and  Gene  Balloun  is  an  outstand- 
ing man.  He  and  I  went  to  Russell  High  School  together  and  I  was 
salutatorian.  Do  you  know  what  that  is? 

Judge  Benavides.  I  understand  you  made  some  pretty  good 
grades.  Senator. 

Senator  Specter.  Well,  salutatorian  is  second,  and  I  only  men- 
tion it  because  Balloun  was  valedictorian,  which  is  first.  So  my  last 
question  for  you  is  what  kind  of  a  lawyer  is  Gene  Balloun?  [Laugh- 
ter.] 

You  don't  have  to  answer  that. 

Judge  Benavides.  He  is  an  excellent  lawyer. 

Senator  Specter.  Thank  you  very  much.  Thank  you,  IVIr.  Chair- 
man. 

Senator  SiMON.  Your  appearance  here  evoked  the  information  we 
did  not  have  until  this  point — that  Arlen  Specter  was  salutatorian 
of  his  high  school  class.  [Laughter.] 

Senator  Specter.  I  don't  ordinarily  like  to  admit  that,  but  to  fin- 
ish second  to  Balloun  is  not  too  bad. 


18 

Judge  Benavides.  I  will  tell  him  that  you  said  that.  We  are  still 
involved  in  that  litigation,  by  the  way. 

Senator  SiMON.  We  wish  you  the  very  best,  judge.  Thank  you 
very  much. 

Judge  Benavides.  Thank  you. 

Senator  SiMON.  Mr.  Castillo?  First,  I  want  to  mention,  Mr. 
Castillo,  the  American  Bar  Association's  Standing  Committee  on 
the  Federal  Judiciary  unanimously  gave  you  a  "well  qualified"  rec- 
ommendation, which  is — and  I  don't  mean  this  disrespectfully  to 
any  other  nominees — ^but  it  is  exceptional  for  us  to  receive  that, 
and  that  is  to  your  credit. 

Let  me  ask  the  question  that  Senator  Specter  asked.  Why  do  you 
want  to  become  a  Federal  judge? 

TESTIMONY  OF  RUBEN  CASTILLO,  CHICAGO,  EL,  TO  BE  U.S. 
DISTRICT  JUDGE  FOR  THE  NORTHERN  DISTRICT  OF  ILLINOIS 

Mr.  Castillo.  Well,  Senator,  in  my  career  I  have  had  the  privi- 
lege of  serving  various  clients  from  all  walks  of  life,  from  some  of 
the  corporate  100  organizations  to  individuals  who  had  literally  no 
assets,  and  I  have  always  enjoyed  the  role  of  being  the  advocate  for 
those  clients,  but  I  really  came  to  a  conclusion  that  I  would  like 
to  have  only  one  client  from  now  on,  and  that  client  being  justice, 
per  se,  and  that  is  why  I  want  to  be  a  Federal  district  court  judge. 

I  believe  that  given  the  variety  of  litigation  assignments  and  ex- 
periences that  I  have  had  that  that  is  the  best  place  for  me  to  serve 
the  country  at  this  point,  and  I  really  enjoyed  public  service  from 
my  4  years  as  an  assistant  U.S.  attorney  in  Chicago. 

QUESTIONING  BY  SENATOR  SIMON 

Senator  SiMON.  You  served  on  a  group  called  the  Civil  Justice 
Reform  Act  Advisory  Group. 

Mr.  Castillo.  That  is  correct,  sir. 

Senator  SiMON.  I  just  read  the  Wall  Street  Journal  reported  on 
a  case.  I  know  nothing  other  than  the  Wall  Street  Journal  article 
about  this  case  and  I  don't  mean  to  comment  on  the  case  other 
than  just  to  ask  a  question  about  what  they  say.  There  was  a 
woman  named  Irene  Geschke  who  filed  a  civil  lawsuit  in  the  Fed- 
eral court  in  the  Northern  District  in  lUinois  in  1979.  That  case 
has  been  continued  now  for  15  years.  Nine  scheduled  trial  dates 
have  come  and  gone;  530  motions,  hearings,  memorandums,  and 
orders  have  occurred. 

Do  we  face  a  special  problem  in  the  Northern  District  of  Illinois? 
What  can  we  do,  and  what  more  specifically  can  you  do  as  a  dis- 
trict judge  to  see  that  justice  is  served?  For  justice  to  be  served  also 
means  it  sometimes  has  to  be  expedited;  you  can't  have  cases  going 
on  for  15  years. 

Mr.  Castillo.  I  agree.  I  am  not  familiar  with  that  particular 
case,  but  from  my  work  with  the  Civil  Justice  Reform  Act  Commit- 
tee in  the  northern  district,  we  found  overall  that  the  court  was 
functioning  pretty  well.  However,  the  court  has  a  huge  docket,  as 
you  well  know.  There  are  over  400  cases  per  every  judge  in  the 
Northern  District  of  Illinois. 

What  can  we  do?  Our  group  basically  concluded  that  we  need  our 
judges  to  become  managers  of  cases,  that  they  have  to  have  effec- 


19 

tive  docket  control  systems  so  that  a  case  as  you  describe — that 
type  of  situation  becomes  an  anomaly  and  just  doesn't  recur. 
Judges  need  to  know  the  status  of  all  of  their  cases  and  need  to 
set  orders  that  expedite  discovery  and  lead  to  a  quick  resolution  of 
the  case,  and  identify  a  case  as  a  potential  trial  or  as  a  case  that 
might  be  resolved  somewhat  short  of  a  trial. 

So  what  we  basically  concluded,  without  getting  into  all  the  spe- 
cifics of  our  recommendations,  is  we  want  our  trial  judges  to  be  ac- 
tive managers  and  to  get  involved  in  litigation  early  on;  call  the 
parties  in  and  find  out  exactly  why  it  was  that  a  complaint  was 
filed  in  Federal  district  court,  determine  whether  or  not  there  is 
adequate  jurisdiction,  and  determine  where  the  case  is  going.  Is 
this  a  case  that  can  be  resolved  short  of  trial,  or  if  there  is  going 
to  be  a  trial,  let  us  talk  about  realistic  dates  to  get  to  that  point. 

Senator  SiMON.  Do  you  think  you  are  a  good  manager? 

Mr.  Castillo.  I  think  I  am,  based  on  my  experiences  at 
MALDEF  and  my  experiences  right  now  in  my  firm.  I  have  to  man- 
age a  number  of  cases,  a  number  of  people.  I  like  to  be  very  hands- 
on,  and  I  think  those  attributes  will  serve  me  well  if  I  am  con- 
firmed by  the  Senate. 

Senator  Simon.  If  your  son  or  daughter  were  to  ask  you  what 
makes  a  good  judge,  how  would  you  respond? 

Mr.  Castillo.  Well,  I  would  start  out  with  the  word  "p^itience," 
first,  and,  second,  hard  work.  And,  third,  courtesy  and  civility  to 
litigants,  I  think,  is  especially  important.  I  think  every  judge 
should  treat  the  litigants  in  their  courtroom  and  the  attorneys  the 
way  that  he  or  she  would  want  to  be  treated  if  they  were  appearing 
before  that  judge.  I  think  it  is  very  important  that  when  a  litigant 
leaves  a  judge's  courtroom,  whether  or  not  they  win  or  lose  that 
case,  they  feel  that  they  received  a  fair  shake  on  that  day. 

Senator  SiMON.  Senator  Specter? 

Senator  Specter.  Picking  up  for  just  a  moment  on  your  comment 
about  courtesy,  when  Senator  Thurmond  is  not  able  to  attend  a 
nominations  hearing,  I  often  ask  nominees  a  question  that  he 
asked  in  one  of  the  first  hearings  I  attended  back  in  1982.  There 
were  two  Pennsylvanians  up  for  U.S.  district  court  and  Senator 
Thurmond  said,  do  you  promise  to  be  courteous,  in  his  Southern  ac- 
cent. 

I  thought  to  myself,  what  a  meaningless  question  that  is.  What 
is  anybody  going  to  say  if  you  ask  them,  do  you  promise  to  be  cour- 
teous? Both  nominees  said  yes,  and  then  Senator  Thurmond  said, 
because  the  more  power  a  person  has,  the  more  courteous  that  per- 
son should  be. 

I  will  expect  the  record  to  reflect  the  effort  at  Senator  Thur- 
mond's  dialect.  [Laughter.] 

I  have  come  to  regard  that  as  the  wisest  thing  I  have  heard  in 
14  years  that  I  have  been  here,  not  that  there  is  much  competition 
around  here  for  the  wisest  comment  that  I  have  heard.  We  were 
in  session  yesterday  until  3:30  a.m.  and  last  night  until  10.  We 
might  not  qualify  for  a  position  on  any  bench  an5rwhere. 

But  Senator  Thurmond's  comment  was  very,  very  profound,  and 
I  believe  that  judges,  especially  judges  with  life  tenure,  tend  to  for- 
get that  very  fast.  There  is  a  leveling  influence  if  you  have  to  run 
for  election,  and  I  am  not  suggesting  that  we  change  the  Constitu- 


20 

tion  to  have  Federal  judges  run  every  6  years  and  have  Senators 
sit  for  Hfe,  but  this  issue  of  courtesy  is  really  important,  really  im- 
portant. 

I  am  unhappy  with  some  of  the  stories  I  have  heard  about  some 
of  the  people  whom  Senator  Heinz  and  I  recommended.  People  will 
be  watching  you  and  the  word  will  get  around,  so  that  being  cour- 
teous is  a  very,  very,  very  high  calling.  Understanding  the  Securi- 
ties Act  and  the  antitrust  implications  and  the  rule  against  per- 
petuities and  the  difference  between  a  shifting  use  and  a  springing 
use  are  hard  to  do,  but  being  courteous  is  something  that  you  can 
do,  but  it  takes  a  lot  of  concentration. 

Mr.  Castillo.  I  completely  agree.  Senator.  I  think  my  mother, 
who  is  here,  has  taught  me  the  fundamental  rule  of  treating  every- 
one like  you  would  want  yourself  to  be  treated.  I  think  she  would 
be  the  first  one  to  remind  me  if  she  saw  something  going  on  that 
didn't  stick  to  that  rule. 

Senator  Specter.  OK,  but  she  won't  be  with  you  all  the  time. 
[Laughter.] 

Mr.  Castillo.  No,  but  she  is  in  spirit. 

Senator  Specter.  You  are  lucky  to  have  her. 

Thank  you,  Mr.  Chairman.  Thank  you.  Gk)od  luck. 

Mr.  Castillo.  Thank  you,  Senator. 

Senator  Simon.  We  thank  you. 

Our  hearing  stands  adjourned. 

[Whereupon,  at  11:47  a.m.,  the  committee  was  adjourned.] 

[Submissions  for  the  record  follow:] 


21 

SUBMISSIONS  FOR  THE  RECORD 


UNITED  STATES  SENATE 
COMMITTEE  ON  THE  JUDLCIARY 

\ 
QUESTIONNAIRE  FOR  JUDICIAL  NOMINEES 

I.   BIOGRAPHICAL  IK70RMATI0M  (PUBLIC) 

1.  Full  name  (include  any  former  names  used). 

Audrey  B.  Collins 

Maiden  neune  Audrey  Anne  Brodie 

2.  Address:  List  current  place  of  residence  and  office  address. 

Current  residence: 
Beverly  Hills,  CA 

Work  address: 

Office  of  the  Los  Angeles  County  District  Attorney 

18-201  Criminal  Courts  Building 

210  West  Temple  Street 

Los  Angeles,  CA  90012 

3.  Date  and  place  of  birth. 

June  12,  1945 
Chester,  PA. 

4.  Marital  Status.   List  spouse's  occupation,  employer's  name 
and  business  address. 

Married  to  Timothy  R.  Collins  since  June  30,  1967. 

Spouse's  occupation:   Dentist 

Spouse's  Present  Employer  and  business  address:  (8/1990  - 

present) 
Los  Angeles  County  Department  of  Health  Services 
Dr.  Ruth  Temple  Health  Center 
3834  South  Western  Avenue 
Los  Angeles,  CA  90062 


22 


5.  Education;   List  each  college  and  law  school  you  have 
attended,  including  dates  of  attendance,  degrees  received, 
and  dates  degrees  were  granted. 

Howard  University,  Washington,  D.C. 

9/63-6/67 

B.A,  in  Political  Science  (1967) 

American  University,  Washington,  D.C. 

9/67-1/69 

M.A.  in  Government  and  Public  Administration  (1969) 

U.C.L.A.  Law  School,  Los  Angeles,  CA 

9/74-6/77 

Juris  Doctor  (1977) 

6.  BTnplQvment  Record:   List  (by  year)  all  business  or 
professional  corporations,  companies,  firms,  or  other 
enterprises,  partnerships,  institutions  and  organizations, 
nonprofit  or  otherwise,  including  firms,  with  which  you  were 
connected  as  an  officer,  director,  partner,  proprietor,  or 
employee  since  graduation  from  college. 

Summer  Clerk,  Agency  for  International  Development, 

Washington,  D.C.   7/67-8/67; 

Teacher,  Dunbar  High  School,  Washington,  D.C.  School  System, 

1/69-6/69; 

Substitute  teacher,  Vigo  County,  Indiana  School  System, 

9/69-6/70; 

Assistant  Director,  Manual  High  School-University  of 

Northern  Colorado  Model  Cities  Project,  Denver,  Colorado, 

9/70-9/71; 

Substitute  teacher  at  John  Adams  Junior  High  School,  Los 

Angeles  Unified  School  District,  5/72-6/72; 

Director,  Norman  Topping  Student  Aid  Fund,  University  of 

Southern  California,  9/72-8/74; 

Assistant  Attorney,  Legal  Aid  Foundation  of  Los  Angeles, 

10/77-1/78; 

Deputy  District  Attorney  (Now  Assistant  District  Attorney) , 

Los  Angeles  County  District  Attorney's  Office,  1/78-present. 

As  part  of  my  current  position  as  Assistant  District 
Attorney,  I  have  responsibilities  for  the  Bureau  of  Crime 
Prevention  and  Youth  Services.   In  this  connection,  I  am  an 
officer  with  the  following  non-profit  foundations  organized 
recently  to  seek  possible  private  funding  for  our  community 
outreach  efforts: 

Advisor,  Special  Assistance  to  Victims  in  Emergency  (SAVE), 
a  non-profit  foundation  of  the  Los  Angeles  County  District 
Attorney's  Office,  1992-93. 


23 


Secretary,  Los  Angeles  County  District  Attorney's  Foundation 
(non-profit),  1993. 

President,  Los  Angeles  County  District  Attorney's  Crime 
Prevention  Foundation  (non-profit),  1993. 

Military  Service;   Have  you  had  any  military  service?   If 
so,  give  particulars,  including  the  dates,  branch  of 
service,  rank  or  rate,  serial  number  and  type  of  discharge 
received. 

No. 


8-    Honors  and  Awards;   List  any  scholarships,  fellowships, 

honorary  degrees,  and  honorary  society  memberships  that  you 
believe  would  be  of  interest  to  the  Committee. 

Honors ; 

Langston  Bar  Association  Lawyer  of  the  Year,  1988 

Honoree,  Howard  University  Alumni  Club  of  Southern 

California,  1989 

Woman  of  the  Year,  Howard  University,  1967 

Who's  Who  in  American  Colleges  &  Universities,  1967 

Academic  Distinctions: 

Order  of  the  Coif,  1977 

Phi  Beta  Kappa,  1967 

Dean's  List,  Howard  University  (1963-67) 

Dean's  List,  American  University  (1968-1/69) 

Four-year  Academic  Scholarship,  Howard  University,  1963-67 

9'    Bar  Associations;   List  all  bar  associations,  legal  or 

judicial-related  committees  or  conferences  of  which  you  are 
or  have  been  a  member  and  give  the  titles  and  dates  of  any 
offices  which  you  have  held  in  such  groups. 

Current  Bar  Associations  &  Professional  Societies: 

State  Bar  Committee  of  Bar  Examiners  since  June,  1991; 
Chair,  Sub-Committee  on  Moral  Character,  1992-93;  Co-Chair, 
Sub-Committee  on  Moral  Character,  1993-94 

Black  Women  Lawyers  of  Los  Angeles  County 

Trustee,  Langston  Bar  Association  of  Los  Angeles 

National  Bar  Association 

California  Women  Lawyers 

3 


24 


Women  Lawyers  of  Los  Angeles 

Los  Angeles  County  Bar  Association 

Los  Angeles  County  Bar  Judiciary  Committee,  1985-present 

California  District  Attorneys'  Association 

The  following  are  significant  oast  chairmanships  and 
memberships  on  Bar  committees,  professional  societies  or 
commissions; 

Deputy  General  Counsel,  Office  of  the  Special  Advisor  to  the 
Los  Angeles  Police  Department  Board  of  Commissioners, 
(Hebster-Williiuns  Commission) ,  appointed  to  investigate  the 
L.A.P.D.  response  to  the  April,  1992  civil  disorders  in  Los 
Angeles,  1992 

Los  Angeles  County  Bar  Board  of  Trustees,  1989-91 

-  Member,  Los  Angeles  County  Bar  Judicial  Appointments 
Committee,  1988-91 

Member,  Los  Angeles  County  Bar  Litigation  Section,  Inn  of 
Court,  1990-91 

Chair,  Executive  Committee,  State  Bar  Criminal  Law  Section, 
1987-88;  Advisor  to  the  Executive  Committee,  1988-90 

Member,  Executive  Committee,  Los  Angeles  County  Bar 
Association  Delegation  to  the  State  Bar  Annual  Meeting, 
1986-89 

Chair,  Los  Angeles  County  Bar  Criminal  Justice  Section, 
1986-87 
»« 

President,  Association  of  Los  Angeles  County  Deputy  District 
Attorneys ,  1984 

10.   Other  Memberships;   List  all  organizations  to  which  you 
belong  that  are  active  in  lobbying  before  public  bodies. 
Please  list  all  other  organizations  to  which  you  belong. 

I  believe  the  following  organizations  to  which  I  belong 
lobby  before  the  California  State  Legislature; 
State  Bar  of  California  (mandatory  bar  association) ;  Los 
Angeles  County  Bar  Association;  California  District 
Attorneys  Association;  California  Women  Lawyers;  Women 
Lawyers  of  Los  Angeles;  National  Bar  Association;  Parent- 
Teacher  Association.   To  the  best  of  my  knowledge,  I  do  not 


26 


belong  to  any  other  orqanizations,  with  the  exception  of  the 
additional  Bar  associations  listed  in  the  response  to  /9. 

11.  Court  Admission;   List  all  coiurts  in  which  you  have  been 
admitted  to  practice,  with  dates  of  admission  and  lapses  if 
any  such  memberships  lapsed.   Please  explain  the  reason  for 
any  lapse  of  membership.   Give  the  same  information  for 
administrative  bodies  which  require  special  admission  to 
practice. 

California  Bar,  12/1977 

United  States  District  Court,  Central  District  of 

California,  4/20/1982 

12.  Published  Writings;   List  the  titles,  publishers,  and  dates 
of  books,  articles,  reports,  or  other  published  material  you 
have  written  or  edited.   Please  supply  one  copy  of  all 
published  material  not  readily  available  to  the  Committee. 
Also,  please  supply  a  copy  of  all  speeches  by  you  on  issues 
involving  constitutional  law  or  legal  policy.   If  there  were 
press  reports  about  the  speech,  and  they  are  readily 
available  to  you,  please  supply  them. 

I  am  enclosing  three  articles  which  I  wrote  in  1987,  1988, 
and  1990,  respectively,  for  newsletters  published  by  the 
State  Bar  of  California.   Two  were  written  in  1987  and  1988 
for  Criminal  Law  News  in  my  capacity  as  Chair  of  the  State 
Bar  Criminal  Law  Section.   The  third  article  appeared  in  the 
August,  1990  issue  of  The  Minority  Lawyer,  published  by  the 
State  Bar's  Ethnic  Minority  Relations  Committee. 

13.  Health;   What  is  the  present  state  of  your  health?  List  the 
date  of  your  last  physical  examination. 

Excellent.   My  most  recent  physical  examination  was  on 
August  6,  1993. 

14.  Judicial  Office;   State  (chronologically)  any  judicial 
offices  you  have  held,  whether  such  position  was  elected  or 
appointed,  and  a  description  of  the  jurisdiction  of  each 
such  court. 

None. 

15.  Citations;   If  you  are  or  have  been  a  judge,  provide:  (1) 
citations  for  the  ten  most  significant  opinions  you  have 
written;  (2)  a  short  summary  of  and  citations  for  all 


26 


appellate  opinions  where  yoiir  decisions  were  reversed  or 
where  your  judgment  was  affirmed  with  significant  criticism 
of  your  substantive  or  procedural  rulings;  and  (3)  citations 
for  significant  opinions  on  federal  or  state  constitutional 
issues,  together  with  the  citation  to  appellate  court 
rulings  on  such  opinions.   If  any  of  the  opinions  listed 
were  not  officially  reported,  please  provide  copies  of  the 
opinions. 

Not  applicable. 

16.  Public  Office;   State  (chronologically)  any  public  offices 
you  have  held,  other  than  judicial  offices,  including  the 
terms  of  service  and  whether  such  positions  were  elected  or 
appointed.   State  (chronologically)  any  unsuccessful 
candidacies  for  elective  public  office. 

I  2UD  a  member  of  the  California  State  Bar  Committee  of  Bar 
Examiners,  a  position  to  which  I  was  appointed  by  the  State 
Bar  Board  of  Governors. 

In  1992,  I  was  also  appointed  as  a  Deputy  General  Counsel  to 
the  Office  of  the  Special  Advisor  to  the  Los  Angeles  Police 
Department  (LAPD)  Board  of  Commissioners  (Webster-Williams 
Commission) ,  appointed  to  ascertain  the  nature  of  the  Los 
Angeles  Police  Department's  response  to  the  April,  1992 
civil  unrest  in  Los  Angeles.   The  Commission  interviewed 
over  400  people,  conducted  a  telephone  survey,  and  held 
meetings  to  assist  in  its  determination  of  the  effectiveness 
of  the  LAPD's  level  of  preparation.   I  was  one  of  four 
Deputy  Counsel  supervising  an  attorney  team  of  la%ryers  whose 
responsibility  was  to  conduct  interviews  of  LAPD  personnel. 
In  addition  to  describing  and  assessing  the  LAPD's  response 
to  the  civil  unrest,  the  Commission  made  recommendations 
designed  to  assist  both  the  LAPD  and  the  entire  City  of  Los 
Angeles  in  efforts  to  improve  emergency  preparedness.   In 
brief,  the  Commission  recommended  that  the  LAPD  strengthen 
its  emphasis  upon  basic  patrol  duties,  that  the  LAPD  and  Los 
Angeles  City  as  a  whole  pay  increased  attention  to  emergency 
response  planning  and  training,  and  that  the  emergency 
operations  center  and  communications  systems  for  the  LAPD 
and  the  City  of  Los  Angeles  be  modernized. 

17.  Legal  Career; 

a.    Describe  chronologically  your  law  practice  and 

experience  after  graduation  from  law  school  including: 


27 


1.  Whether  you  served  as  clerk  to  a  judge,  and  if  so 
the  name  of  the  judge,  the  court,  and  the  dates  of 
the  period  you  were  a  clerk: 

No  clerkship. 

2.  Whether  you  practiced  alone,  and  if  so,  the 
addresses  and  dates: 

No  solo  practice. 

3.  The  dates,  names  and  addresses  of  law  firms  or 
offices,  companies  or  governmental  agencies  with 
which  you  have  been  connected,  and  the  nature  of 
your  connection  with  each: 

1)    Legal  Aid  Foundation  of  Los  Angeles  (UiFLA) 
9/77-12/77  ' 

Administrative  address: 
1550  West  Eighth  Street 
Los  Angeles,  CA  90017 

Assistant  Attorney  (Agency's  title  for  a  law 
school  graduate  who  has  not  been  sworn  in  as 
an  attorney) 

2)    Los  Angeles  County  District  Attorney's  Office 
1/78  to  present 

210  West  Temple  Street,  Los  Angeles,  CA  90012 
1/78-6/87:     Deputy  District  Attorney 
6/87-10/88:    Head  Deputy,  Torrance  Branch 

Office 
10/88-12/92:   Assistant  Director,  Bureaus  of 

Central  Operations  and  Special 

Operations 
12/92-present:  Assistant  District  Attorney, 
one  of  three  highest  ranking  administrators 
in  an  office  of  approximately  900  deputy 
district  attorneys. 

b.   1.   What  has  been  the  general  character  of  your  law 
practice,  dividing  it  into  periods  with  dates  if 
Its  character  has  changed  over  the  years? 

I  practiced  criminal  law  as  a  deputy  district 
attorney  in  court  until  June,  1987.   I  served  in 
preliminary  hearing,  misdemeanor  and  juvenile 
prosecution  units.   I  also  negotiated  cases  in  the 
Consumer  and  Environment  Protection  Division  from 
July,  1980  until  April,  1983.   I  was  the  Grand 
Jury  Legal  Advisor  for  two  years  from  April,  1983 
to  June,  1985.   My  next  assignment  was  as  a 


28 


calendar  deputy  in  the  Central  Operations  Division 
fron  July,  1985  to  June,  1987. 

From  June,  1987  until  October,  1988,  I  was  the 
Head  Deputy  of  the  Torrance  Branch  office  of  the 
District  Attorney's  Office.   I  was  an  Assistant 
Director  with  oversight  of  criminal  law  divisions 
froB  October,  1988  until  December  7,  1992.   As  a 
Head  Deputy  I  approved  charging  decisions  and 
dispositions  in  major  cases  in  the  Torrance  Branch 
of  the  District  Attorney's  office.   As  an 
Assistant  Director,  I  participated  in  broader 
policy-medcing  issues,  although  I  still  made 
decisions  as  to  the  filing,  scope  of,  and 
disposition  of,  major  cases  in  the  criminal 
bureau . 

Since  December  7,  1992,  I  have  been  the  third 
highest  administrator  and  the  highest  ranking 
woman  of  color  in  the  Los  Angeles  County  District 
Attorney's  office,  which  is  the  largest  local 
prosecutorial  office  in  the  nation  with 
approximately  900  attorneys.   Although  the 
District  Attorney's  office  is  predominantly  a 
criminal  law  office,  I  am  cxirrently  supervising 
child  support  policies  and  procedures  in  the 
Bureau  of  Family  Support.   I  also  oversee  the 
Bureau  of  Management  and  Budget  and  the  Bureau  of 
Crime  Prevention  and  Youth  Services. 

In  addition,  I  have  responsibility  for  all 
Employee  Relations  decisions  within  the 
department.   This  includes  oversight  of 
disciplinary  matters  and  departmental 
implementation  of  the  Americans  with  Disabilities 
Act.   I  conduct  Skelly  hearings  fSkellv  v.  State 
Personnel  Bd.  (1975)  15  Cal.3d  194)  in 
disciplinary  matters  involving  deputy  district 
attorneys,  and  make  litigation  decisions  on 
matters  before  the  Los  Angeles  County  Civil 
Service  Commission. 

2.    Describe  your  typical  former  clients,  and  mention 
the  areas,  if  any,  in  which  you  have  specialized. 

Since  being  sworn  in  as  an  attorney  in  December, 
1977,  I  have  represented  one  client — the  People  of 
the  State  of  California.   As  described  above,  I 
have  specialized  in  criminal  law.   Of  particular 
interest  were  my  assignments  to  the  Consumer  and 
Environment  Protection  Division,  and  am   Legal 
Advisor  to  the  Los  Angeles  County  Grand  Jury.   I 

8 


29 


c. 


have  been  in  increasingly  responsible  managenent 
positions  since  June,  1987,  and  am  now  one  of  two 
Assistant  District  Attorneys. 

Did  you  appear  in  court  frequently,  occasionally, 
or  not  at  all?   If  the  frequency  of  your 
appearances  in  court  varied,  describe  each  such 
variance,  giving  dates. 

As  stated  above  in  17.b.l.,  I  appeared  in  criminal 
courts  on  a  regular  basis  from  January,  1978  until 
June,  1987  (when  I  beceuae  the  Head  Deputy  of  the 
Torrance  Branch)  with  the  exception  of  the 
following  periods: 

7/80-4/83:   Assignment  to  Consumer  and  Environment 
Protection  Division.   (I  appeared  in  civil  court 
infrequently,  and  then  often  before  a  Commissioner 
who  accepted  stipulated  judgments.) 

4/83-6/85:   Advisor  to  the  Los  Angeles  County 
Grand  Jury. 

Vfhat  percentage  of  these  appearances  was  in: 

(a)  federal  courts; 

(b)  state  courts  of  record; 

(c)  other  courts. 

My  appearances  were  in  state  courts  of  record 
100%  of  the  time. 

What  percentage  of  your  litigation  was: 

(a)  civil 

(b)  criminal 


My  litigation  was  100%  civil  from  July,  1980 
through  April,  1983,  consisting  of  lawsuits 
brought  under  California  Business  and 
Professions  Code  Sections  17200  (unfair 
business  practices)  and  17500  (false 
advertising) . 

From  January,  1978  through  June,  1980  and 
from  April,  1983  through  June,  1987,  my 
litigation  was  100%  criminal. 

State  the  number  of  cases  in  courts  of  record  you 
tried  to  verdict  or  judgment  (rather  than 
settled) ,  indicating  whether  you  were  sole 
counsel,  chief  counsel,  or  associate  counsel. 


30 


I  estimate  that  I  tried  approximately  200  criminal 
cases  to  verdict,  including  misdemeanor  jury 
trials,  misdemeanor  and  felony  juvenile 
adjudications  (all  of  which  are  Superior  Court 
non-jury  trials) ,  and  felony  adult  court  and  jury 
trials.   I  was  sole  counsel  in  all  criminal  cases. 

5.   What  percentage  of  these  trials  was: 

(a)  jury 

(b)  non-jury. 

Of  my  Superior  Court  adult  trials,  I  estimate  that 
90%  were  jury  and  10%  non-jviry  trials.   All 
juvenile  court  adjudications  (estimating  five  per 
week  for  nine  months)  were  non-jury  Superior  Court 
matters.   To  the  best  of  my  knowledge,  my 
misdemeanor  trials  were  jury  trials. 

18.   Litigation;   Describe  the  ten  most  significant  litigated 

matters  which  you  personally  handled.   Give  the  citations, 
if  the  cases  were  reported,  and  the  docket  number  and  date 
if  unreported.  Give  a  capsule  summary  of  the  substance  of 
each  case.   Identify  the  party  or  parties  whom  you 
represented;  describe  in  detail  the  nature  of  your 
participation  in  the  litigation  and  the  final  disposition  of 
the  case.   Also  state  as  to  each  case: 

(a)  the  date  of  representation; 

(b)  the  name  of  the  court  and  the  name  of  the  judge  or 
judges  before  whom  the  case  was  litigated;  and 

(c)  the  individual  name,  addresses,  and  telephone  numbers  of 
co-counsel  and  of  principal  counsel  for  each  of  the  other 
parties. 

As  a  criminal  trial  lawyer,  I  gained  invaluable  experience 
by  litigating  and  resolving  the  variety  of  cases  that  are 
part  of  the  daily  case  load  in  the  do*mtown  criminal  courts. 
Although  these  were  not  high-publicity  cases,  I  consider  my 
experience  as  a  calendar  deputy  and  regular  trial  deputy  to 
be  among  my  most  valuable  assignments. 

In  each  of  the  eight  criminal  lawsuits  listed  below,  I  was 
the  trial  attorney  for  the  Los  Angeles  County  District 
Attorney's  Office,  representing  the  People  of  the  State  of 
California.   I  was  co-counsel  in  the  civil  lawsuits  listed 
as  cases  9  and  10.  All  eases  were  litigated  in  the  Los 
Angeles  County  Superior  Court. 

1.    People  v.  Michael  Ivevs 
Case  Number:   A772038 
Charge:   P.C.  211  (Robbery) 
Judge:   The  Honorable  Philip  F.  Jones  (retired) 

10 


31 


Defense  Attorney:   John  Martinez,  Office  of  the  Public 

Defender,  Rio  Hondo  Office,  11234 
East  Valley  Blvd.,  El  Monte,  CA 
91731;  (818)  575-4174 

Date  of  Verdict:   January  24,  1986 

Facts  of  case:   The  victim  was  walking  in  an  alley 
behind  a  downtown  hotel  when  he  was  approached  and 
beaten  by  three  individuals,  one  of  whom  was  the 
defendant.   The  defendant  took  the  victim's  wallet. 
Two  witnesses  from  the  hotel  came   to  the  aid  of  the 
victim  and  held  the  defendant  for  police.   The  other 
two  assailants  escaped. 

The  jury  convicted  the  defendant  of  robbery.   He  was 
sentenced  to  three  years  in  State  Prison. 

2.  People  V.  Cecil  Turner 
Case  Number:   A772155 
Charge:   3  counts  P.C.  245(a) 

(Assault  by  means  of  force  likely  to  produce  great 
bodily  injury  and  with  a  weapon.) 
Judge:   The  Honorable  Charles  Older  (retired) 
Defense  Attorney:   James  Goldstein 

6454  Van  Nuys  Blvd.,  Van  Nuys,  CA  91401; 
(818)  785-5553 
Date  of  Verdict:   February  12,  1986 

Facts  of  case:   The  defendant  was  charged  with  three 
counts  of  assault  with  a  deadly  weapon  against  the 
three  victims,  who  were  brothers.   The  three  brothers, 
young  men  in  their  20' s,  testified  that  the  defendant 
pulled  two  ki .ves  on  one  brother,  and  that  all  three 
brothers  eventually  disarmed  the  defendant.   One 
brother  was  cut  on  his  hand.   However,  the  defendant 
himself  sustained  fairly  serious  injuries,  including 
torn  tendons  on  one  arm.   The  victims  never  admitted 
that  they  had  inflicted  these  wounds  on  the  defendant, 
despite  the  presence  of  medical  records. 

The  jury  found  the  defendant  not  guilty. 

3.  People  V.  Cornelius  Fredericks  Banks 
Case  Number:   A769521 

Charge:   P.C.  245(a) 

(Assault  by  means  of  force  likely  to  produce  great 
bodily  injury  and  with  a  deadly  weapon.)   An 
enhancement  of  great  bodily  injury  was  also 
charged . 

Judge:   The  Honorable  Robert  Altman 

Defense  Attorney:   Albert  E.  Hopkins 


11 


32 


1324  Wlerfleld  Dr.,  Pasadena,  CA  91105;  (818) 
931-1567 
Date  of  Verdict:   April  23,  1986 

Facts  of  Case;   In  July,  1985,  the  victim  was  walking 
with  a  girlfriend  when  the  defendant,  her  estranged 
boyfriend,  approached  her  and  allegedly  slashed  her 
face  with  a  knife.   The  victims 's  credibility  was 
successfully  attacked  on  several  major  issues  during 
the  trial.   The  jury  returned  a  not  guilty  verdict. 

People  V.  Larrv  Charles  McKiever 

Case  Number:   A781270 

Charge:   P.C.  290(b),  211;  V.C.  10851 

(Kidnapping  for  robbery,  robbery,  taking  an 
automobile  without  the  owner's  consent.) 

Judge:   The  Honorable  Paul  Boland 

Defense  Attorney:   George  S.  Clark 

880  West  1st  Street,  Los  Angeles,  CA  90012; 
(213)  617-8128 

Date  of  Verdict:   August  1,  1986 

Facts  of  case:   The  defendant,  along  with  another 
suspect,  jumped  into  the  car  driven  by  the  40-year-old 
female  victim.   They  forced  her  to  drive  from  dovmtown 
Los  Angeles  to  South  Central  Los  Angeles,  where  they 
forced  her  from  her  car,  took  her  wallet  and  her  car, 
and  left  her.   The  defendant  was  arrested  driving  the 
victim's  car  two  days  later. 

The  jury  found  the  defendant  guilty  of  all  charges.   He 
was  sentenced  to  State  Prise   for  life  and  to  a  five 
year  enhancement  for  a  prior  conviction. 

People  V.  Anthony  Carl  Roger; 
Case  Number:   A782730 
Charge:   P.C.  211  (Robbery) 

Enhancement  charging  ue<.  of  a  knife  was  also 

filed. 
Judge:   The  Honorable  Miriam  Vogel 
Defense  Attorney:   Edward  N.  Mizrahi 

Mizrahi  &  Geffen,  ^930  La  Cienega  Blvd., 
#519,  Inglewood,  O  90301;  (310)  216-0660 
Date  of  Verdict:   August  18,  1986 

Facts  of  Case;   The  defendant,  acting  with  a  juvenile 
co-suspect,  cornered  the  victim,  a  mother  out  with  her 
baby  and  her  young  daughter.   The  defendant  allegedly 
brandished  a  knife  and  demanded  money.   He  struck  the 
victim  twice  in  the  face  when  she  was  too  slow  in 
giving  him  money. 


12 


SB 


The  jury  found  the  defendant  guilty  of  robbery.   It  did 
not  return  the  enhancement.   The  defendant  was 
sentenced  to  five  years  In  State  Prison. 

6.    People  V.  Jeffrey  Forest  Huahea 
Case  Number:   A779204 
Charge:   P.C.  187  (Murder) 

It  was  also  alleged  that  the  defendant  personally 
used  a  firearm. 
Judge:   Commissioner  Ronald  Hauptman 
Defense  Attorney:   Albert  DeBlanc 

DeBlanc  &  Alexander,  5750  Wilshire  Blvd., 
/555,  Los  Angeles,  CA  90036;  (213)  965-0949 
Date  of  Verdict:   January  29,  1987 

Facts  of  case;   At  2:00  a.m.  one  morning,  the  victim 
and  his  friend  drove  in  the  friend's  car  to  an  area 
where  they  had  heard  they  could  purchase  cocaine.   A 
group  of  several  people,  including  the  defendant, 
flagged  them  down.   After  some  preliminary  discussions 
over  the  price  of  the  cocaine,  the  defendant  fired 
several  shots  into  the  car  at  the  victim,  who  was  in 
the  passenger  seat,  and  his  friend.   The  victim  was 
shot  five  times.   Although  his  friend  drove  straight  to 
a  hospital,  the  victim  died  from  multiple  gunshot 
wounds.   The  People  presented  eyewitness  testimony 
which  placed  the  defendant  at  the  scene  with  a  weapon. 

The  jury  returned  a  verdict  of  second  degree  murder. 
The  defendant  was  sentenced  to  State  Prison  for  15 
years  to  life  plus  2  years  for  the  enhancement  alleging 
use  of  a  gun. 

7.    People  V.  Horace  Butler 
Case  Number:   A781930 
Charge:    1-3  counts  H.S.  11352  (Sale  of  cocaine) 

2  -  H.S.  11379.6  (a)  (Manufacture  of  a 

controlled  substance  other  than  P.C. P. 
Judge:   The  Honorable  Robert  Roberson 
Defense  Attorney:   Herbert  Barish 

1007  So.  Central,  /208,  Glendale,  CA  91204; 

(818)  242-7400 
Date  of  Verdict:   March  17,  1987 

Facts  of  c^g^i   The  defendant  was  charged  with  three 
counts  of  sale  of  cocaine  to  an  undercover  officer  in 
1986.   The  undercover  officer  also  watched  the 
defendant  process  a  piece  of  rock  cocaine.   The  jury 
found  the  defendant  guilty  on  all  four  counts.   He  was 
sentenced  to  four  years  in  State  Prison,  which  was 
suspended,  and  to  probation  and  county  jail. 


13 


34 


8.  People  V.  Julv  T.  Dv 
Case  Number:   A  781903 

Charge:        1  coiint  P.C.    487.1    (Grand  theft  of  personal 

property . 

9  counts  I.e.  556(a)(4)  (Preparing  fraudulent 

insurance  claims) 
Judge:   The  Honorable  Charles  Older  (retired) 
Defense  Attorney:   Donald  R.  Schindler 

Combell,  Ack  &  Driscoll,  P.O.  Box  1065, 

Placerville,  CA  95667;  (916)  622-2992 
Date  of  Verdict:   April  8,  1987 

r^tcta  of  case;   This  was  a  fairly  complicated  insurance 
fraud  case.   The  total  loss  suffered  by  the  insurance 
company  was  approximately  $26,000.00.   The  defendant,  a 
medical  doctor  and  surgeon,  applied  for  a  disability 
Insurance  policy  in  1976  in  Indiana.   He  then  moved  to 
California,  where  he  had  both  a  private  practice  and, 
eventually,  full-time  employment  with  the  Los  Angeles 
County  Department  of  Health  Services.   In  1984,  the 
defendant  became  infected  with  hepatitis  and  was  in 
fact  for  a  time  unable  to  do  surgery  because  of  the 
danger  of  contaminating  patients.   Subsequently,  the 
defendant  contacted  his  insurance  company.   The 
insurance  company  knew  the  defendant  had  a  private 
practice.   However,  he  never  disclosed  to  the  insurance 
company  that  he  was  an  employee  of  the  Los  Angeles 
County  Department  of  Health  Services. 

The  defendant  submitted  monthly  claims  for  full 
disability  and  collected  monthly  payments  without 
revealing  that  he  was  working  as  a  full-time  employee 
of  the  Department  of  Health  Services. 

The  jury  convicted  the  defendant  of  all  ten  counts.   He 
was  sentenced  to  three  years  probation  and  payment  of 
full  restitution  plus  applicable  fines  and  assessments. 

9.  People  of  the  StatP-  of  California  vs.  Southern 
California  Edison 

Case  Number:   C372982 

Charge:    Civil  prosecution  for  violation  of  Business 
and  Professions  Code  Section  17200. 

Judge  Approving  Stipulated  Judgment:   Judge  Pro  Tempore 
Clinton  Rodda 

Co-Counsel:     Deputy  District  Attorney,  now  Head 
Deputy,  John  F.  Lynch,  Santa  Monica 
Branch  Office,  1725  Main  St.,  Santa 
Monica,  CA  90401,  (310)  458-5341. 

Defense  Attorney:    Mark  E.  Mikulka 

So.  Calif.  Edison  Co.,  2244  Walnut  Grove 
Avenue,  Rosemead,  CA  91770; 

14 


35 


(818)  302-3272 
Date  of  Stipulated  Judgment:   June  30,  1981 

Facts  of  case:   This  was  a  non-litigated  but 
significant  civil  case  which  resulted  in  a  Stipulated 
Final  Judgment.   As  a  civil  litigator  in  the  Consumer 
and  Environment  Protection  Division,  I  was  one  of  two 
attorneys  assigned  to  a  1981  civil  prosecution  against 
Southern  California  Edison  (SCE) ,  which  provides 
electricity  for  Southern  California. 

SCE  used  transformers  which  contained  polychlorinated 
biphenyl  ("PCB") ,  a  substance  regulated  as  a  hazardous 
waste  under  Health  and  Safety  Code  Sections  21500  et 
sea.   The  PCBs  were  contained  primarily  in 
transformers,  which  occasionally  ruptured  or  leaked, 
resulting  in  accidental  spills  of  PCB.   SCE  failed  to 
clean  up  the  spills  in  accordance  with  the  Health  and 
Safety  Code  sections  governing  the  handling  and 
disposal  of  hazardous  waste.   In  addition,  SCE 
transported  the  material  from  the  spills  to  hazardous 
waste  facilities;  however,  SCE  did  not  register  as  a 
hauler  of  hazardous  waste  as  required  by  the  Health  and 
Safety  Code  Section.   The  District  Attorney's  office 
alleged  that  both  SCE's  failure  to  effectively  clean 
the  PCB  spills  and  its  failure  to  register  as  a 
hazardous  waste  hauler  constituted  unlawful  business 
practices  in  violation  of  Business  and  Professions  Code 
Section  17200. 

Several  months  of  negotiations  with  SCE  culminated  in 
the  June  30,  1981  filing  of  a  Complaint  and  Stipulated 
Final  Judgment  which  contained  the  largest  civil 
judgment  and  costs  ($85,400)  negotiated  to  that  date  by 
the  Consumer  and  Environment  Division.   The  Attorney 
General  joined  in  the  Judgment,  but  all  case 
negotiations  were  handled  by  DDA  Lynch  and  me.   The 
Final  Judgment  also  contained  an  injunction  which 
required  Southern  California  Edison  to  notify  the  State 
Department  of  Health  Services  by  the  end  of  the  first 
business  day  following  the  spill,  to  notify  customers 
near  the  spill  within  twenty-four  hours  after  the 
spill,  and  to  clean  up  every  spill  site  in  accordance 
with  all  federal  standards  and  further  orders  from  the 
State  Department  of  Health  Services. 

10.   People  of  the  State  of  California  vs.  Giorgio.  Inc. 
Case  Number:   L.A.  Superior  Court  C412556 
Charge:    Civil  prosecution  for  violation  of  Business  t 

Professions  Code  Section  17200. 
Judge  Approving  Stipulated  Judgment:   Judge  Pro  Tempore 

Bertrand  D.  Mouron 

15 


36 


Co-Counsel:     DDA  (now  Head  Deputy)  John  F.  Lynch, 
1725  Main  Street,  Santa  Monica,  CA 
90401;  (310)  458-5341. 
Defense  Counsel:     David  Birnbaum  (then  with  Gibson, 

Dunn  &  Crutcher) ;  University  of  CA, 
Berkeley,  Office  of  General 
Counsel,  291  Boa It  Hall,  Berkeley, 
CA  94720-2499;  (510)  987-9725 
Date  of  Stipulated  Judgment:   Nay  28,  1982 

Facts  of  case;   Following  service  of  simultaneous 
search  warrants  at  several  Beverly  Hills  shops,  DDA 
John  Lynch  and  I  alleged  unfair  business  practices 
under  Business  fc  Professions  Code  Section  17200  against 
several  Beverly  Hills  retail  stores  which  sold 
pocketbooks,  belts,  and  other  items  made  from 
endangered  species  in  violation  of  California  Penal 
Code  Section  653 (o).   Negotiations  resulted  in  the 
filing  of  Stipulated  Final  Judgments  as  to  all  the 
retailers.   One  such  judgment  was  reached  with  Giorgio, 
Incorporated,  which  paid  $7,000  in  civil  penalties  and 
costs  and  was  subject  to  an  injunction  requiring 
compliance  with  Penal  Code  Section  653 (o). 

19.   Legal  Activities:   Describe  the  most  significant  legal 
activities  you  have  pursued,  including  significant 
litigation  which  did  not  progress  to  trial  or  legal  matters 
that  did  not  involve  litigation.   Describe  the  nature  of 
your  participation  in  this  question.   Please  omit  any 
information  protected  by  the  attorney-client  privilege 
(unless  the  privilege  has  been  waived.) 

The  most  significant  legal  activities  which  I  have  pursued 
include  my  criminal  trial  work,  my  civil  litigation  in 
consumer  and  environment  protection,  my  assignment  as  the 
Legal  Advisor  to  the  Grand  Jury,  and  the  legal  activities  in 
which  I  have  been  involved  since  becoming  Assistant  Director 
and  now  Assistant  District  Attorney. 

As  a  civil  litigator  in  the  Consumer  and  Environment 
Protection  Division,  I  gained  valuable  civil  pre-trial 
litigation  and  negotiating  experience  with  cases  in  the 
consumer  and  environmental  protection  area.   One  of  the 
consumer  protection  cases  I  handled  was  People  v.  La 
Victoria  Foods.  Inc..  Los  Angeles  Superior  Court  C355633. 
This  was  a  negotiated  Final  Judgment  including  $40,000  in 
civil  penalties  and  costs  against  La  Victoria  Foods,  a  local 
manufacturer  of  salsas  and  sauces,  for  unfair  business 
practices  under  Business  and  Professions  Code  Section  17200. 
The  violations  arose  from  unsanitary  conditions  at  La 


16 


37 


victoria's  food  processing  plant  in  violation  of  the  Health 
and  Safety  Code. 

During  ay  tern  as  Grand  Jury  Legal  Advisor,  the  Grand  Jury 
heard  some  of  the  most  coaplex  cases  ever  handled  by  the  Los 
Angeles  County  District  Attorney's  Office,  including  the 
Twilight  Zone  case  and  the  McNartin  Pre-school  nolestation 
case.   I  also  had  the  opportunity  to  assist  the  grand  jurors 
in  their  role  of  civil  oversight  of  County  government. 

As  an  administrator,  I  have  been  involved  in  a  number  of 
significant  legal  activities.   While  serving  as  a  Head 
Deputy  and  Assistant  Director  in  three  criminal  bureaus,  I 
had  the  opportunity  to  make  filing  decisions  and  case 
disposition  decisions  on  the  most  significant  cases  within 
those  bureaus. 

As  Assistant  District  Attorney  since  December,  1992,  I  have 
recently  been  involved  in  assisting  with  budget  negotiations 
during  what  is  arguably  the  most  challenging  fiscal  year  in 
Los  Angeles  County's  history.   Although  this  is  not  a  legal 
activity,  I  have  gained  invaluable  administrative  experience 
as  well  as  an  understanding  of  the  budgeting  process  in  a 
county  government  larger  than  most  states.   Similarly,  I 
supervise  the  Bureau  of  Family  Support,  with  its  separate 
staff  of  attorneys  and  support  staff,  and  its  separate 
budget  and  complex  relationships  with  the  federal  and  state 
government . 

Perhaps  of  most  recent  importance  was  my  service  as  a  Deputy 
General  Counsel  on  the  Webster-Williams  Commission  appointed 
to  investigate  the  Los  Angeles  Police  Department  (LAPD) 
response  to  the  April,  1992  civil  disorders.   Our  Commission 
worked  during  the  entire  summer  of  1992  to  review  the  LAPD's 
reaction  to  the  civil  uiurest.   I  was  one  of  four   Deputy 
Counsel  in  charge  of  an  attorney  team  which  interviewed  over 
200  LAPD  officers,  ranging  from  patrol  officers  to  the  then 
Deputy  Chief  for  the  Commission. 

In  addition  to  describing  and  assessing  the  LAPD's  response 
to  the  civil  unrest,  the  Commission  made  recommendations 
designed  to  assist  both  the  LAPD  and  the  entire  City  of  Los 
Angeles  in  efforts  to  improve  emergency  preparedness.   In 
brief,  the  Commission  recommended  that  the  LAPD  strengthen 
its  emphasis  upon  basic  patrol  duties,  that  the  LAPD  and  Los 
Angeles  City  as  a  whole  pay  increased  attention  to  emergency 
response  planning  and  training,  and  that  the  emergency 
operations  center  and  communications  systems  for  the  LAPD 
and  the  City  of  Los  Angeles  be  modernized. 

I  am  a  member  of  the  State  Bar  Committee  of  Bar  Examiners, 
and  have  been  the  Chair  of  the  Subcommittee  on  Moral 

17 


38 


Character  for  the  past  year.   Our  Subcomnittee  conducts 
voluntary  interviews  of  applicants  whose  backgrounds  have 
raised  issues  which  must  be  resolved  before  their  admission 
to  the  Bar.   This  work  has  proved  to  be  of  significant  value 
to  the  State  Bar  and  has  been  personally  rewarding  for  me. 


18 


39 


ZI.   rZHAHCIAL  DATA  AMD  COVFLICT  Ot   ZMTKRKST  (PUBLIC) 

List  sources,  amounts  and  dates  of  all  anticipated  receipts 
from  deferred  income  arrangements,  stock,  options, 
uncompleted  contracts  and  other  futvire  benefits  which  you 
expect  to  derive  from  previous  business  relationships, 
professional  services,  firm  memberships,  former  employers, 
clients,  or  customers.   Please  describe  the  arrangements  you 
have  made  to  be  compensated  in  the  future  for  any  financial 
or  business  interest. 

When  I  reach  retirement  age,  I  will  receive  retirement 
income  from  the  Los  Angeles  County  Employees  Retirement 
Association  (LACERA)  and  the  County  of  Los  Angeles  Savings 
Plan  (assuming  that  I  remain  in  those  plans) . 
Alternatively,  I  may  "roll-over"  my  retirement  funds  into  an 
Individual  Retirement  Account  (IRA)  within  180  days  of 
terminating  my  employment  with  the  County.   I  will  also 
continue  to  receive  interest  income,  dividends,  and  capital 
gain  distributions  as  indicated  on  my  Form  AO-10. 

Explain  how  you  will  resolve  any  potential  conflict  of 
interest,  including  the  procedure  you  will  follow  in 
determining  these  areas  of  concern.   Identify  the  categories 
of  litigation  and  financial  arrangements  that  are  likely  to 
present  potential  conf licts-of-interest  during  yoiir  initial 
service  in  the  position  to  which  you  have  been  nominated. 

I  would  immediately  disclose  to  all  litigants  the 
potentially  conflicting  ownership  of  stocks,  bonds,  or 
mutual  funds,  as  well  as  my  prior  employment  with  Los 
Angeles  County  and  membership  in  the  Los  Angeles  County 
Employees  Retirement  Association  (LACERA)  and  the  County  of 
Los  Angeles  Savings  Plan  (assximing  that  I  remain  in  those 
plans) .   I  would  indicate  whether  I  considered  the 
particular  holding  to  constitute  a  conflict  of  interest,  and 
would  remove  myself  from  any  involvement  with  the  case  if  I 
concluded  that  either  an  actual  conflict  or  the  appearance 
of  a  conflict  of  interest  existed. 

I  do  not  anticipate  any  other  sources  of  potential  conflict. 
I  will,  of  course,  follow  all  canons  of  the  Code  of  Judicial 
Conduct  in  reference  to  any  potential  conflict  of  interest. 

Do  you  have  any  plans,  commitments,  or  agreements  to  pursue 
outside  employment,  with  or  without  compensation,  during 
your  service  with  the  court?  If  so,  explain. 

No. 

19 


40 


4.  List  sources  and  amounts  of  all  income  received  during  the 
calendar  year  preceding  your  nomination  and  for  the  current 
calendar  year,  including  all  salaries,  fees,  dividends, 
interest,  gifts,  rents,  royalties,  patents,  honoraria,  and 
other  items  exceeding  $500  or  more.   (If  you  prefer  to  do 
so,  copies  of  the  financial  disclosvire  report,  required  by 
the  Ethics  in  Government  Act  of  1978,  may  be  substituted 
here . ) 

Please  see  Form  AO-10  for  sources  and  amounts  of  all  income 
called  for  in  this  question. 

5.  Please  complete  the  attached  financial  net  worth  statement 
in  detail  (add  schedules  as  called  for) . 

Please  see  attached. 

6.  Have  you  ever  held  a  position  or  played  a  role  in  a 
political  campaign?   If  so,  please  identify  the  particulars 
of  the  campaign,  including  the  candidate,  dates  of  the 
campaign,  your  title  and  responsibilities. 

No. 


20 


41 


FINANCIAL  DISCLOSURE  REPORT 


Raport  Raqulrvd  try  thm  itliic* 
Rafor«  Act  of    1989,    Pub.    L.    Ko. 
101-194,       Movwmbmx   30,    1969 
(S    U.S.C.A.    App.    6,    fSlOl-112) 


1.    P«rBO£)  Raporclng    (L«at 


flzvt,    OLlddla   loitlal) 


Collins,    Audrey    B. 


2.    Coiu-t  or  Orgaolzstloa 

United  States  District  Court/ 
Central  District  of  Californi 


3.   Oat*  of  Raport 


1/29/94 


4.  Tltla   (Artlcla  III  judgas  Indlcata  actlva  or 

•aaior  atatua;  Naglatrata  judgaa  lodlcata 
fall-  or  part-tiaa) 


Nominee, district  court 


Raport  Typa   ( chack  approprlata  typa) 

Y    Hoialnatlon,    Data    1    /?7/94 
Initial  Annual  Final 


6.    Raportlng  Parlod 

1/93-1/94 


7.  Cbaabara  or  of flea  Addraaa 

L.A.  Cbinty  District  Attctney's  Otfioe 

18-333  QrijTiiral  GDurts  Bailing 

210  ;^5t  Triple  Street 


e.  On  uia  baala  of  tba  laforaatlon  coatalnad  in  ttala  Raport,  It 
la.  In  ay  opinion.  In  coopllanca  wltii  appllcabla  lawa  and 
ragulatlona  


Raviawlng  Officar  Slgnatura 


IMPORTANT  NOTES:     77k  instructions    accompanying    this  form   must  be  fallowed.    Complete  all  putt, 
efaeddng  the  NONE  box  for  each  sectloo  where  you  have  no  reportable  information.   S^   on  last  poge. 


I.     POSITIONS.     (Reporting  iodividual  only,  see  pp.  7-8  of  Instniaions.) 

POSITION  NAME  OF  ORGANIZATION/ENTITY 


□ 


NONE   (Ho  reportAbla  poaltlooa] 


&'^i-a-;Tn-  rHf^Hrr  Ar^^mpy 


I/TK    flncppiss  mmr^f  IMstrict  Attctney 


Pc^icfenr. 


L.A.  CtaLTTEv  Di3txict  Attomg/'s  OrinE  Prevgiticn  Rxrt^tion(nor>-ctD£it)/I993-94 


Secrgtarv 


L.A.  Oxnt?/  Oistrict  Attctng/'s  Ftainfeticn  (non-crofit),  1993-^ 


II.     AGREEMENTS.     (Reponmg  individual  only,  see  p.  8-9  of  Instructions.) 
DATE  PARTIES  AND  TERMS 


(ontirrBd  at  VIII.) 


Q 


NONE    (No  raporxable  agrasaanta) 


NON-INVESTMENT  INCOME.     (Reponing  individual  and  spouse;  see  pp.  9-12  of  Instructions.) 


n 


DATE 
(Honoraria  only) 


SOURCE  AND  TYPE 


NONE        (Ro    reportable   non-invsatawnt    incoDe) 


nqQ?U..A.  mnrYrH.:!t-Hr1-  ai-1-nmpy Vg  Offi np  f.qpin 

(1993)  L.A.Cbmtv  District  Attomg/'s  Cffioe  (self) 

(1994)  L.k.Cnnty  rH.gM-ifT  Arfnmpy'.g  nffirp  t<=c^yf\ 

(1997-941  r..A.  Cnr*y  n=^ .  nf  Hm1i-h  .qFrvimR  i;^ajpp) 
(1993)  Qxy  U.S.A.  -Oil  royalty  (camtnity  |-ti4.a.Ly) 


GROSS  INCOME 
(youis,  not  spouse's) 


S  106.812 


$U4,'S2 


$     9,400(ao:rax. ) 

s 


256 


42 


FINANCIAL  DISCLOSURE  REPORT  (confd) 


I  of  FsTBOD  toporxiog 


QpllirB/  Audrey  B. 


Data  of  Raport 


iy29/19*i 


IV.    REIMBURSEMENTS  and  GIFTS  -  transportation,  lodging,  food,  entertainment. 


Oncludes  those  u>  spouse  and  dependent  children:  use  the  parenthetlcals  '(S)"  and  'pC)'  to  Indicate  nfotUHt 
iclmbuncments  and  gifts  receiYed  by  spouse  and  dependent  children,  respectively.    See  pp.Li-15  of  InitrDciloas.) 


n 


SOURCE 


DESCRIPTION 


NONE      (Ho  aucn  nporubl*  r«l»Mirn— nt»  or  glfu) 


■  BBIBt 


V      OTHER  GIFTS,      (includes  those  to  spouse  and  dencodent  children;  use  the  parenthetlcals  '(S)'  u 
Indicate  other  gifts  received  by  spouse  and  dependent  children,  respectively.  See  pp.l5-li  of 


D 


SOURCE 
NONE      (HO  aucb  r«porul>l<  «1CC«1 


DESCRIPTION 


and  '(PCr  *» 
InslnM'hnit ) 

VALUE 


FYgTTf 


VI.      LIABILITIES.      Oncludes  those  of  spouse  and  dependent  chlldrtn;  indicate  where  appUcable,  person  responsible 


for  liability  by  usine  the  parenthetical  -(S)'  for  separate  liability  of  spouse,  "(J)"  for  joint  liability  of  reporting 
individual  and  spouse,  and  "(DC)"  for  liability  of  a  dependent  child,  ^ee  pp.lfr-18  oflnstructions.) 


D 


CREDITOR 


NONE      do  r«parusi«  liusiiitlM) 


DESCRIPTION 


VALUE    CODE* 


n-rT«^^n^>-   Hirf^cr-  nSiral-im  '^TT^arpnral    LCSD m-hnrTTMT  fTI  TiflFrt    IrTTI  ffT 


26-VEar  old  sji  at  V!;ale  Law  Sctcol 


VALOB  OODia:    J  *  S15.000  or  !■••        K 
a  -  3230,001  U>  ]JOD,000   o 


113,001  to  S30,000 

isoo.ooi  to  $1,000,000 


1,  -   (30,001   to  S100,000 
P  .  Mor*  ttiMM  (1,000,000 


(100,001  ts  (250,000 


43 


FINANCIAL  DISCLOSURE  REPORT  (cont'd) 


I  of   Parson   Raportlng 


CblliJTS>  Audpgy  B. 


Data  of   Raport 

1/29A9*] 


VII.    INVESTMENTS  and  TRJSTS  -  income,  value,  transactions,    (includes  those  or  spoa« 

and  depeadcnt  chUdrcD;  sec  pp.  18-27  of  Instructions.) 


A. 

(iocludlD^   tniac  aetata) 

Xndloata,  wbaxv  mmXScahlm,  owoar  of 
ch*  §»««t  by  usijig  til*  p«r*QU)«uc«l 
"(J)"   for  lilnt  omarvblp  of  raoort- 
lAO  lD4lviaaal  «fi(j  apcou,   -(Sl^for 
MMxata  on«r«lilp  by  •pou«*.    *<I>C)' 
for  owuArsAlp  by  aopaodast  coilo. 

Plao*  *IX)*  atur  a^cli  <a>M 
•XHipc  froM  prior  discloauro. 

during 

raporting 

parlod 

C. 

Oroaa  valoa 

at  and  of 

raportlng 

pariod 

0. 
TrafiaaotloDa  during  rvporttsg  pariod 

(1) 

«at., 
Coda^ 

-ST: 

(1) 

(J-P) 

(J) 

Valua 
Hatbod, 

Coda^ 
(9-1' 1 

If  not  asaspt  fra«  dlsclouura               | 

Hontb. 

(3) 
Valua, 

JdaoU^  of 

{If  prlvata 
traaUotlan) 

NONE     (DO  roportail. 
iacoa*.   assota,   or 

EXEMPT 

EXEMPT 

1 

Hesicbroe,  Los  Anqeles,  CS.              (.. 

)  c 

Rent 

K/M 

R/V* 

tat.#134-950196-3,134-100506-l 

A 

Intficest 

J 

T 

&:cx.72-^?ff9-l 

A 

Interest 

J 

T 

Art.#24»-88TO 

A 

K 

T 

ixl.(ra6-013D19-4Cf7 

71     A 

Div. 

Y- 

T 

nVijP  t  (-hv     R:,l,,nnprl  Rrri  f.71 

A 

Div. 

J 

T 

7 

A 

Div. 

. 

T 

S 

Jans  Venture  Fmd,  Ire.  (J) 

A 

Div. 

T 

9 

A 

n--. 

- 

T 

10 

BPTham  CNft  IrraiE  art  (J) 

B 

Div. 

K 

T 

"  ta3:..#2433-9971 
TTOWTvirlP?^  SrtTM*>  (3P_lf ) 

A 

T- 

K 

T 

"  tort. #2439-8862 
TWSr-awrlf=fi  SrhwRb(.<p=LBe) 

A 

T 

13 

14 

15 

16 

17 

18 

19 

20 

1    XDCO«a/Cala  Cod«*t         A-Sl,000  or   lost                       fi-Sl,001    to   C2,5O0                       C-S2,501    to    5,000                         D-55,001   to  $15,000 
(«••  Col.    Bl    t    D4)         E-S15,001    to   S50,00C             F-<    0,001    tr    $100,000                G-S100,001    to   SI. 000, 000        H-Horo   than   $1,000,000 

J  Valua  coaui                 J-5i5,oo4  or  laaa              n-s.sIdSi  to  556,444             i,.j58,641  to  Si64,4oo           M-S164,66i  ti  S5S6;ao« 

taa*  col.    Cl    t   D3)         !l-$250,001    to   $500,000        -^''00,001    tc   $1,000,000        P-Hore   tjian    SI, 000,000 

]  Vain.  Mathod  Codaa:      g-Appralaal                                l.-c.t'(r.al   aitite  fmiy)      S-Haaaaaaant      '         '                   f-CaakAUrkai 
(Saa  Coi.   C2)                   U-Boo«  Valua                                       tiar                                             u-BatUutad 

44 


FINANCIAL  DISCLOSURE  REPORT  (confd) 


I  of   P«r»OD  Raportlag 


CXllinR.    AitVw  R, 


Dat«  of  Baport 


VIII.    ADDITIONAL  INFORMATION  or  EXPLANATIONS,    (indiate  pan  of  Report.) 


I.  ttaBiticTs(caTtiru33) 


Ajviaor,  Stedal  Assistaije  to  VictinB  in  Elrergercy  (SftVE'  (nm-prDfit  fou-tfatiai  of  L.A.  Oxnty  Dlaxlct  flaxcney'3 

QEfioE,  1992-93 
Ttustee,  Larpstm  E&r  Aaaxdanim  of  Lob  Angeles,  1993 . 


vn(oantinuBd) 


il,  Iteidgce, LC6  AnqeleB,  Ca. 


This  residaoevos  puxhased  in  1971  foe  $29,000(oo6t. )    ttaue^^r,  that  cbes  not  reflect  its  true  value  tatey. 
I  believe  the  currait  nartet  valiE  to  be    approDciiTBtely  $aX),C10O-S220,00O.     (ttote:  Tine  asseaaed  value  of  the 


hjTE  is  lower  than  nartet  valu°  ir<=rar=c,  r^lifccnia's  Pcoxsiticn  i:-  has  frcgm  the  ffpq^''^  'J^lig  nPnnwK 
cured  sinoe  the  1970's.  1 . 


IX.    CERTIFICATION. 


In  compliance  with  the  provisions  of  28  U.S.C.  §  455  and  of  Adviic^  Opinion  No.  57  of  the  Advisory  Committee  on 
Judicial  Activities,  and  to  the  best  of  my  knowledge  at  the  time  after  rc.onable  inquiry,  1  did  not  perform  any  adjudicatory 
function  in  any  litigation  during  the  period  covered  by  this  report  in  wh  I,  my  spouse,  or  my  minor  or  dependent  children 
had  a  financial  interest,  as  defined  in  Canon  3C(3)(c),  in  the  outcome  i    iuch  litigation. 

I  ceni^  that  all  information  given  above  (including  information  pen-  mg  to  my  spouse  and  minor  or  dependent  children, 
if  any)  is  accurate,  true,  and  complete  to  the  best  of  my  knowledge  ac  belief,  and  that  any  information  not  reported  was 
withheld  because  it  met  applicable  statutory  provisions  permitting  non-du  ,;losure. 

I  further  certify  that  earned  income  from  outside  employment  and  hcporaria  and  the  acceptance  of  gifts  which  have  been 
reported  are  in  compliance  with  the  provisions  of  5  U.S.C.A  app.  7,  5  .'^'  et.  seq.,  5  U.S.C  S  7353  and  Judicial  Conference 
regulations. 

Signature uL-^        R)         (A^ Date       JJiarv  29,  19»> 

NOTE      ANY  INDIVIDUAL  WHO  KNOWINGLY  AND  WU^FULLY  FALSIFIES  OR  FAILS  TO  FILE  THIS  REPORT 
MAY  BE  SUBJECT  TO  CIVIL  AND  CRIMINAL  SANCTIONS  (5  U.S.CA.  Ar:-'.  6,  §  104,  AND  18  U.S.C  S  1001.) 


FILING  INSTRUCTIONS: 

Mail  signed  original  and  3  additional  copies  to:  Judicis   Ethics  Comminee 

Admir:bmtlve  Office  of  Uie 

Un;..'4  Sutes  Courts 
Washii.gton,  DC   20544 


45 


FINANCIAL  STATEMENT 


NET  WORTH 


Provide  a  complete,  current  financial  net  worth  statement  which  itemizes  in  detail  all 
assets  (including  accounts,  real  estate,  securities,  trusts,  investments,  and  other 
financial  holdings),  all  liabilities  (including  debts,  mortgages,  loans,  and  other  financial 
obligations)  of  yourself,  your  spouse,  and  other  immediate  members  of  your  household. 


ASSETS 


LIABILITIES 


Cash  on  hand  and  in  banks 

U.S.  Govt,  securities-add  schedule 

Listed  securities-add  schedule 
Unlisted  securities-add  schedule 
Accounts  and  Notes  receivable 

Due  from  relatives  and  friends 

Due  from  others 

Doubtful 


$20,601      Notes  payable  to  banks- 
secured 
0    Notes  payable  to  banks- 
unsecured 
$80,534     Notes  payable  to  relatives 
0 
0     Notes  payable  to  others 


0 
0 


Real  estate  owned-add  schedule 
Real  estate  mortgages  receivable 
Autos  and  other  personal  property 

Cash  value-life  insurance 

Other  assets-itemized  on  schedule 


$655,000  Accounts  and  bills  due 

0   Unpaid  income  tax 
$131,000   Other  unpaid  tax  and 
interest 
0   Real  estate  mortgage 
payable-add  schedule 
$53,510  Other  mortgages  and  other 
liens  payable 


0 
0 
0 

11,802 


46 


Other  debts-itemize 


TotaJ  assets 


CONTINGENT  LIABILITIES 

As  endorser,  comaker  or  guarantor    $18,230 

On  leases  or  contracts 

Legal  Claims 

Provision  for  federal  income  tax 
Other  special  debt 


$940,645 

Total  liabilities 

$11,802 

Net  worth 

$928,843 

Total  liabilities  and 

$940,645 

net  worth 

GENERAL 

INFORMATION 

$18,230 

Are  any  assets  pledged? 
(Add  schedule) 

No 

0 

Are  you  defendant  in  any 
suits  or  legal  actions? 

No 

0 

Have  you  ever  taken 
bankruptcy? 

No 

0 

0 

47 

FINANCIAL  STATEMENT 

NET  WORTH 
SCHEDULE 


USTED  SECURITIES 

1.  Charles    Schwab 

Roche  Holding  A.G. 

Schwab    Money    Market    Fund 

2.  A.G.  Edwards 

Centennial     Government     Trust 

3.  Charles   Schwab    IRA-Audrey    B.    Collins 

Cable  &  Wireless  Spon  ADRF 

Hong   Kong  Tele,   Ltd. 

Merck  &  Co.,  Inc. 

NovaCare 

Vestar 

Schwab    Money    Market    Fund 

4.  Charles   Schwab   IRA-Timothy    R.    Collins    (spouse) 

Cable  &  Wireless  Spon  ADRF 

Hong  Kong  Tele,   Ltd. 

Merck  &  Co.,  Inc. 

NovaCare 

Vestar 

Schwab    Money    Market    Fund 

TOTAL 


CASH/MARKET  VALUE 


$  8,160 
10,343 


$16,351 


4,800 
6,225 
3,438 
3,050 
1,250 
4,065 


4,800 
6,225 
3,438 
3,050 
1,250 
4,089 

$80,534 


REAL  ESTATE  OWNED 

1.  Residence 

Current  Market  Value  (approximate) 

2.  Residential    Property 
Los  Angeles,  CA 

Current  Market   Value   (approximate) 


TOTAL 


$455,000 

$200,000 
$655,000 


48 


OTHER  ASSETS 

Mutual    Funds: 

Dodge  &  Cox  Balanced  Fund $4,138 

Monetta    Fund,    Inc $278 

T.   Rowe  Price  New  Asia  Fund $4,821 

Lindner    Fund,    Inc $376 

Janus    Venture    Fund,    Inc $3,373 

Wasatch    Growth    Fund $663 

Scudder    Short   Term    Bond    Fund..$7,000 
Benham    GNMA    Income    Fund $32,861 


TOTAL    $53,510 


49 


III.   OEHERAL  (PUBLIC) 


An  ethical  consideration  under  Canon  2  of  the  American  Bar 
Association  calls  for  "every  lawyer,  regardless  of 
professional  prominence  or  professional  workload,  to  find 
some  time  to  participate  in  serving  the  disadvantaged." 
Describe  what  you  have  done  to  fulfill  these 
responsibilities,  listing  specific  instances  and  the  amount 
of  time  devoted  to  each. 

Because  of  the  limitations  placed  upon  Los  Angeles  County 
attorneys  by  the  County  Charter,  I  have  not  participated  in 
pro  bono  activities.   Los  Angeles  County  Charter  Section  55 
states:   "The  District  Attorney,  Public  Defender,  County 
Counsel  and  their  deputies  shall  not  engage  in  any  private 
law  practice,  and  they  shall  devote  all  their  time  and 
attention  during  business  hours  to  the  duties  of  their 
respective  offices." 

In  1989  I  represented  the  District  Attorney's  Office  on  Safe 
Harbors,  a  project  sponsored  by  the  South  Central  Organizing 
Committee  (SCOC) ,  United  Neighborhoods  Organization  (UNO) , 
and  East  Valley  Organization  (EVO)  to  promote  the  safety  of 
our  residents,  especially  children,  in  streets  and  parks. 
We  sought,  but  did  not  receive,  federal  funding  in  1989. 

I  am  the  only  woman  and  the  only  prosecutor  joining  the  Los 
Angeles  Black  Peace  Officers  Association  (BPOA)  in  meeting 
with  African-American  gang  members  in  South  Central  Los 
Angeles.   The  original  purpose  of  the  meetings  was  to 
promote  communication  and  understanding  between  law 
enforcement  and  members  of  gangs  in  South  Central  Los 
Angeles.   A  new  objective  is  to  find  meaningful  employment 
for  interested  former  gang  members.   These  meetings  are  not 
held  during  office  hours. 

In  other  community-related  activities,  I  spoke  at  the  Drive- 
By  Agony  March  sponsored  by  the  mother  of  two  murdered  sons 
on  April  24,  1993,  at  the  Criminal  Courts  Building,  and  at 
the  Interfaith  Coalition  to  Heal  L.A.  meeting  on  March  25, 
1993  at  Holman  Methodist  Church. 


The  American  Bar  Association's  Commentary  to  its  Code  of 
Judicial  Conduct  states  that  it  is  inappropriate  for  a  judge 
to  hold  membership  in  any  organization  that  invidiously 
discriminates  on  the  basis  of  race,  sex,  or  religion.   Do 
you  currently  belong,  or  have  you  belonged,  to  any 
organization  which  discriminates — through  either  formal 
membership  requirements  or  the  practical  implementation  of 

21 


50 


membership  policies?   If  so,  list,  with  dates  of  membership. 
What  have  you  done  to  try  to  change  these  policies? 

I  have  not  belonged  to  any  such  organization,  to  the  best  of 
my  knowledge.   However,  from  1965-67  I  was  active  in  my 
college  sorority,  Alpha  Kappa  Alpha.   Its  membership 
consisted  of  only  women.   I  do  not  )cnow  whether  its  By-laws 
then,  or  now,  restricted  membership  to  women.   I  have  not 
been  a  financial  member  since  1967. 


Is  there  a  selection  commission  in  your  jurisdiction  to 
recommend  candidates  for  nomination  to  the  federal  courts? 
If  so,  did  it  recommend  your  nomination?   Please  describe 
your  experience  in  the  entire  judicial  selection  process, 
from  beginning  to  end  (including  the  circumstances  which  led 
to  your  nomination  and  interviews  in  which  you 
participated) . 

To  the  best  of  my  )cnowledge,  there  is  not  an  independent 
selection  commission  in  my  jurisdiction  to  recommend 
candidates  for  nomination  to  the  federal  courts.   However,  I 
was  interviewed  by  Senator  Dianne  Feinstein's  Judicial 
Advisory  Committee  for  the  Central  District  of  California. 
I  also  requested  that  Women  Lawyers  of  Los  Angeles  evaluate 
■e  through  their  judicial  recommendation  process.   The 
organization  evaluated  me  as  "Exceptionally  Well  Qualified." 

Senator  Feinstein's  Judicial  Advisory  Committee  for  the 
Central  District  of  California  interviewed  me  in  April, 
1993.   I  was  subsequently  interviewed  by  Senator  Feinstein 
in  her  San  Francisco  office.   Senator  Feinstein's  State 
Director,  Kam  Kuwata,  was  also  present  during  the  interview. 

I  have  subsequently  had  telephone  conversations  with 
officials  from  the  Department  of  Justice,  and  have  met  with 
representatives  from  the  Federal  Bureau  of  Investigation  and 
the  American  Bar  Association. 


Has  anyone  involved  in  the  process  of  selecting  you  as  a 
judicial  nominee  discussed  with  you  any  specific  case,  legal 
issue  or  question  in  a  manner  that  could  reasonably  be 
interpreted  as  asking  how  you  would  rule  on  such  case, 
issue,  or  question?   If  so,  please  explain  fully. 

No. 


Please  discuss  your  views  on  the  following  criticism 
involving  "judicial  activism." 


22 


51 


The  role  of  the  Federal  judiciary  within  the  Federal 
government,  and  within  society  generally,  has  become  the 
siibject  of  increasing  controversy  in  recent  years.   It  has 
become  the  target  of  both  popular  and  academic  criticism 
that  alleges  that  the  judicial  branch  has  usurped  many  of 
the  prerogatives  of  other  branches  and  levels  of  government. 

Some  of  the  characteristics  of  this  "judicial  activism"  have 
been  said  to  include: 

a.  A  tendency  by  the  judiciary  toward  problem-solution 
rather  than  grievance-resolution; 

b.  A  tendency  by  the  judiciary  to  employ  the  individual 
plaintiff  as  a  vehicle  for  the  imposition  of  far- 
reaching  orders  extending  to  broad  classes  of 
individuals; 

c.  A  tendency  by  the  judiciary  to  impose  broad  affirmative 
duties  upon  governments  and  society; 

d.  A  tendency  by  the  judiciary  toward  loosening 
jurisdictional  requirements  such  as  standing  and 
ripeness;  and 

e.  A  tendency  by  the  judiciary  to  impose  itself  upon  other 
institutions  in  the  manner  of  an  administrator  with 
continuing  oversight  responsibilities. 

Criticism  of  "judicial  activism"  within  the  Federal 
judiciary  has  been  the  subject  of  increasing  controversy  in 
recent  years.   Although  some  of  this  criticism  may  be  well- 
founded,  based  upon  decisions  which  appear  to  impose  far- 
reaching  orders,  much  of  this  criticism  may  also  be  based 
upon  disagreements  ^ith  either  individual  rulinga  or  the 
legislative  decisiorf  to  increase  the  court's  jurisdiction  in 
the  area  of  Constitutional  civil  rights. 

Because  of  the  authority  and  discretion  vested  in  the 
federal  district  courts,  it  is  especially  critical  that  a 
district  court  judge  recognize  the  appropriate 
Constitutional  limitations  upon  the  courts  and  follow 
existing  law  as  applied  to  the  facts  before  the  court.   If 
it  appears  to  the  public  that  federal  jurists  rule  upon 
their  personal  and  political  views  rather  than  the  rule  of 
law,  public  confidence  in  the  judiciary  as  an  independent 
branch  of  the  federal  government  will  be  diminished.   In 
becoming  a  federal  district  court  judge,  I  would  consider  it 
my  duty  to  put  aside  any  personal  biases  and  beliefs  and 
apply  the  relevant  law  to  the  facts  before  the  court. 


23 


52 


An  awareness  of  and  willingness  to  follow  the  concepts 
discussed  below,  which  all  relate  to  the  limited 
jurisdiction  of  the  federal  court,  should  curtail  any 
legitiaate  criticism  of  the  courts  based  upon  "judicial 
activism."  With  the  courts  confronted  with  an  increasing 
case  load,  including  an  expanding  percentage  of  criminal 
cases  which  must  be  tried  within  statutory  time  limits,  the 
federal  courts  must  be  mindful  of  the  need  for  caution  in 
issuing  rulings  which  would  require  ongoing  monitoring  or 
review  of  other  governmental  institutions. 

If  confirmed  as  a  federal  district  court  judge,  I  would  be 
mindful  of  the  jurisdictional  limitations  inherent  in  the 
federal  court  system  and  would  adhere  to  the  following 
jurisdictional  precepts  and  limitations  to  avoid  criticism 
of  the  court: 

Federal  courts  are  courts  of  limited  jurisdiction  under 
Article  III,  Section  2  of  the  Constitution.   They  can 
adjudicate  only  those  cases  which  the  Constitution  and 
Congress  authorize  them  to  adjudicate.   The  Constitution 
also  limits  the  federal  judicial  power  to  designated  "cases" 
and  "controversies."  This  helps  to  assure  that  the  courts 
do  not  intrude  into  areas  committed  to  the  other  branches  of 
government.   The  doctrine  of  standing,  which  examines 
whether  the  plaintiff  has  a  redressable  injury  subject  to 
the  court's  jurisdiction,  is  an  essential  element  of  the 
case-or-controversy  requirement  of  Article  III. 

Lower  courts  are  bound  by  the  principal  of  stare  decisis, 
which  is  defined  as  meaning  "to  abide  by,  or  adhere  to, 
decided  cases."   Black's  Law  Dictionary  1406  (6th  ed.  1990). 
It  may  be  understood  as  the  obligation  to  follow  judicial 
precedents  to  allow  continuity  and  reliability  in  the  law. 
It  is  obviously  the  role  of  district  courts  to  abide  by  the 
rulings  of  appellate  courts  under  this  doctrine. 

In  summary,  I  have  no  agenda,  and  no  preconception  as  to  how 
I  would  rale  upon  any  factual  scenario  or  legal  issue  other 
than  to  apply  the  law  as  it  stands  to  the  facts  at  hand.   As 
a  federal  district  court  judge,  I  would  seek  to  be  fair,  to 
provide  access  to  the  judicial  system,  and  to  do  justice 
under  the  Constitution  and  laws  of  the  United  States. 


24 


53 


QUESTIONNAIRE  FOR  JUDICIAL  NOMINATION 
UNITED  STATES  SENATE  COMMITTEE  ON  THE  JUDICIARY 


I.   BIOGRAPHICAL  INFORMATION   (PUBUC) 

1 .  Full  name  (include  any  former  names  used.) 

Fortunato  Pedro  Benavides  (also  referred  to  as  Pete  Benavides) 

2.  Address:  List  current  place  of  residence  and  office  address(es). 

OFFICE:        818  Pecan 

McAllen,  Texas  78501 

HOME:  4246  Westlake  Drive 

Austin,  Texas  78746 

3.  Date  and  place  of  birth. 

February  3,  1947;  Mission,  Texas 


Marital  Status  (including  maiden  name  of  wife,  or  husband's  name):  List  spouse's 
occupation,  employer's  name  and  business  address(es). 

Augusta  Camilla  (Zapffe)  Benavides;  nurse;  Seton  Home  Care;  4200  North 
Lamar,  Austin,  Texas  78756 


Education:  List  each  college  and  law  school  you  have  attended,  including  dates 
of  attendance,  degrees  received,  and  dates  degrees  were  granted. 

a.        University  of  Houston  (1965-1968),  Houston.  Texas;  Received  a 
Bachelor  of  Business  Administration  Degree  (BBA)  - 1968 


54 


b.  Bates  College  of  Law  at  the  University  of  Houston  (1968-1972), 
University  of  Houston  Law  Center,  Houston,  Texas;  Received  Doctor  of 
Jurisprudence  (JD)  - 1972 


Employment  Record:  Ust  (by  year)  all  business  or  professional  corporations, 
companies,  firms,  or  other  enterprises,  partnerships,  institutions  and  organizations, 
nonprofit  or  otherwise,  including  firms,  with  which  you  were  connected  as  an 
officer,  director,  partner,  proprietor,  or  employee  since  graduation  from  college. 

a.  1972-1974:    Associate,  Rankin,  Kern  &  Martinez  (now  Mullins  and 
Rankin,  Inc.);  McAllen,  Texas 

b.  1974:  Partner,  Cisneros,  Beery  &  Benavides;  fvlcAllen,  Texas 

c.  1975:  Partner,  Cisneros,  Brown  &  Benavides;  fwlcAllen,  Texas 

d.  1976:   Partner,  Cisneros  &  Benavides;  McAllen,  Texas 

e.  1977:    Sole  Proprietor,  Fortunate  P.  Benavides,  Attorney  at  Law; 
McAllen,  Texas 

f.  1977-1979:    Judge,  Hidalgo  County  Court-at-Law  #2;  Edinburg, 
Texas 

g.  1980:  Proprietor,  Fortunate  P.  Benavides,  Attorney  at  Law;  McAllen, 
Texas 

h.        1981-1984:   Judge,  92nd  District  Court  of  Hidalgo  County.  Texas; 
Edinburg,  Texas 

i.         1984-1991:  Justice,  13th  Court  of  Appeals;  Corpus  Christi,  Texas 

j.         1991-1992:  Judge,  Texas  Court  of  Criminal  Appeals;  Austin,  Texas 

k.        1993:  Visiting  Judge  to  courts  in  Texas;  by  assignment  of  Thomas 
R.  Phillips,  Chief  Justice  of  the  Supreme  Court  of  Texas 

I.  November  1993-Present:     Partner,  Atlas  &  Hall,  LLP.;  McAllen, 

Texas 


55 


Military  Service:  Have  you  had  any  military  service?  If  so,  give  particulars, 
including  the  dates,  branch  of  service,  rank  or  rate,  serial  number  and  type  of 
discharge  received. 

No 


8.  Honors  and  Awards:  List  any  scholarships,  fellowships,  honorary  degrees,  and 
honorary  society  memberships  that  you  believe  would  be  of  interest  to  the 
Committee. 

a.  Appointed  to  the  Texas  Juvenile  Probation  Commission  in  1983; 
Austin,  Texas;  Resolution  and  plaque  for  service  to  the  youth  of  Texas  and 
to  the  Commission,  received  1990 

b.  Plaque  in  honor  of  contributions  to  the  Hispanic  Women  of  Texas, 
presented  by  the  Hispanic  Women's  Network  of  Texas,  Corpus  Christi, 
Texas 

c.  Certificate  of  Appreciation  from  St.  Edward's  University,  Austin, 
Texas;  for  contributions  in  migrant  education 

d.  The  American  Bar  Association  at  its  1992  annual  convention 
recognized  me  and  awarded  to  me  a  certificate  as  an  outstanding  minority 
jurist. 


9.  Bar  Associations:  List  all  bar  associations,  legal  or  judicial-related  committees  or 
conferences  of  which  you  are  or  have  been  a  member  and  give  the  titles  and  dates 
of  any  offices  which  you  have  held  in  such  groups. 

a        Member:  State  Bar  of  Texas,  Austin,  Texas;  Member  of  District  12b 
Grievance  Committee;  1977-1982 

b.  Member:  Hidalgo  County  Bar  Association,  Edinburg,  Texas;  Director 
1978,  1979. 1980;  President  1980-1981  term 

c.  Member:  San  Patricio  County  Bar  Association,  Sinton,  Texas 

d.  Member:   Travis  County  Bar  Association,  Austin,  Texas;  Member 
1991-1993 


S6 


e.  Former  Member:    Corpus  Christ!  Bar  Association,  Corpus  Christi, 
Texas 

f.  Member:  American  Bar  Association 

g.  Member:  Hispanic  National  Bar  Association,  Melville,  New  York 


10.  Other  Memberships:  List  all  organizations  to  which  you  belong  that  are  active  in 
lobbying  before  public  bodies.  Please  list  all  other  organizations  to  which  you 
belong. 

Organizations  to  which  I  belong  active  in  lobbying  are  the  American  Bar 
Association  and  the  Hispanic  National  Bar  Association.  Other  organizations 
to  which  I  have  belonged  are  as  follows: 

a.  Texas  Center  for  the  Judiciary,  Inc.  (non-profit  organization  providing 
continuing  education  and  training  for  the  Texas  Judiciary),  Austin,  Texas; 
Member,  Board  of  Directors  1990-1992 

b.  St.  Michael's  Episcopal  Church,  Austin,  Texas;  1992  to  present 

c.  St.  Andrew's  Episcopal  Church.  Corpus  Christi,  Texas;  1985-1991 

d.  St.  Matthew's  Episcopal  Church,  Edinburg,  Texas;  1981-1985;  Vestry 
Member  1984 

e.  Hidalgo  County  Easter  Seals  Society  for  Adult  and  Crippled  Children, 
McAllen,  Texas;  Board  of  Directors  1980-1984 

f.  Mustangs  of  Corpus  Christi,  Corpus  Christi,  Texas;  a  community 
service  organization;  Member  1990-1991;  Honorary  member  1992 

g.  Mexican  American  Demoaats  of  Texas,  1990-1992 


1 1 .  Court  Admission:  List  all  courts  in  which  you  have  been  admitted  to  practice,  with 
dates  of  admission  and  lapses  if  any  such  memberships  lapsed.  Please  explain 
the  reason  for  any  lapse  of  membership.  Give  the  same  information  for 
administrative  bodies  which  require  special  admission  to  practice. 

a.        All  Courts  of  the  State  of  Texas:    Admitted  April  20,  1972;  good 


« 


standing 


b.  United  States  Court  of  Appeals  for  the  Fifth  Circuit:  Admitted  March 
27.  1975.  On  October  1,  1981.  the  Circuit  was  split  The  new  Fifth  Circuit 
required  reapplicatlon.  However,  since  I  was  a  Texas  District  Court  Judge 
at  the  time  and  the  laws  of  Texas  would  not  allow  me  to  appear  or  plead  in 
court  while  a  judge,  I  did  not  reapply. 

c.  United  States  District  Court  for  the  Southern  District  of  Texas- 
Admitted  January  12.  1973.  In  1985  the  judges  of  the  Southern  District 
determined  that  admission  or  licenses  should  not  be  renewed  and  required 
reapplicatlon.  Because  I  was  a  justice  on  the  Texas  Court  of  Appeals  and 
could  not  under  Texas  law  plead  or  appear  in  court,  I  did  not  renew  my 
admission  or  license  in  the  District  Court.  I  did  not  resume  the  practice  of 
law  until  October  1993,  and  I  was  readmitted  to  practice  on  November  1, 


12.  Published  Writing*;;  Ust  the  titles,  publishers,  and  dates  of  books,  articles  reports 
or  other  published  material  you  have  written  or  edited.  Please  supply  one  codv 
of  all  published  material  not  readily  available  to  the  Committee.  Also,  please 
supply  a  copy  of  all  speeches  by  you  on  issues  involving  constitutional  law  or  legal 
policy.  If  there  were  press  reports  about  the  speech,  and  they  are  readily  available 
to  you.  please  supply  them. 

a.  'Recent  Significant  Decisions  of  the  Texas  Court  of  Criminal  Appeals 
(1990-1991  Term);'  published  in  workbook  form  for  the  Texas  District  and 
County  Attomey's  Association  1991  Annual  Criminal  Law  Update 
September  25-27,  1991,  Galveston,  Texas.  The  paper  was  updated' 
delivered  and  published  in  materials  for  the  Texas  Criminal  Defense  Lawyers 
Assoaation,  Practice  Skills  Course,  January  16-17,  1992,  El  Paso  Texas 
Additionally,  it  was  part  of  the  course  materials  published  for  the  Hispanic 
National  Bar  Association  1991  meeting,  San  Antonto,  Texas. 

?,  u  "^'"'^'0"«;"  published  by  the  State  Bar  of  Texas  in  material  for  the 
17th  Annual  Advanced  Criminal  Law  Course,  August  5-9,  1991.  Austin 
Texas.  Scott  Young  was  the  co-author.  The  paper  was  an  update  of  the 
materials  prepared  by  Michael  McCormick.  Presiding  Judge  of  the  Texas 
Court  of  Cnminal  Appeals,  and  Carroll  Wilborn.  Jr..  Judge  of  the  344th 
Judiaal  District  Court.  Mr  Young  was  responsible  for  nearly  all  of  the  work 
on  the  updated  paper;  I  provided  editing,  suggested  additional  topics  and 
cases,  and  orally  presented  the  paper. 


58 


c.  Texas  Appellate  Procedure-Briefs  and  Arguments  on  Appeal.'  The 
paper  outlined  the  appellate  procedure  rules  in  Texas  with  respect  to  briefs 
and  arguments  in  civil  and  criminal  cases.  The  article  was  prepared  and 
reproduced  for  the  Abilene  Bar  Association  meeting  of  January  3, 1992.  It 
was  not  published. 

d.  'A  Countdown  of  Cases.'  A  paper  on  the  ten  most  significant 
criminal  cases  decided  by  the  Texas  Court  of  Criminal  Appeals  in  1991. 
The  paper  was  delivered  at  the  Texas  Criminal  Defense  Lawyers 
Association's  Practice  Skills  Course  in  Corpus  Christi.  Texas,  and  is  a  part 
of  the  Skills  Course  materials. 


13.      Health:    What  is  the  present  state  of  your  health?    List  the  date  of  your  last 
physical  examination. 

Good;  September  20.  1993 


14.  Judicial  Office:  State  (chronologically)  any  judicial  offices  you  have  held,  whether 
such  position  was  elected  or  appointed,  and  a  description  of  the  jurisdiction  of 
each  such  court. 

a.  Judge,  Hidalgo  County  Court  at  Law  #2,  Edinburg,  Texas;  August 
1977-December  1979;  appointed  1977  by  Hidalgo  County  Commissioners 
Court;  elected  to  full  term  November  1978.  Jurisdiction  over  probate 
matters,  civil  case  over  lesser  amounts,  eminent  domain  proceedings, 
proceedings  under  mental  health  code  and  jailable  misdemeanors. 

b.  Judge,  92nd  Judicial  District  Court  of  Hidalgo  County,  Texas;  January 
1981-1984;  elected  in  1980  for  4-year  term.  Jurisdiction  over  felony  trials, 
official  misconduct  cases,  civil  cases  involving  greatest  amounts  in 
controversy  and  suits  involving  titJe  to  realty  as  well  as  mandamus  and 
prohibition. 

c.  Justice,  Thirteenth  Court  of  Appeals;  November  1984-April  1991; 
appointed  by  Governor  Mark  White  in  1984;  elected  in  1986  for  unexpired 
term  and  in  1988  for  full  term.  The  court  has  jurisdiction  over  appeals  from 
trial  courts  of  record  as  well  as  mandamus  and  prohibition  matters. 

d.  Judge,  Texas  Court  of  Criminal  Appeals;  April  1991-January  1993; 
appointed  by  Governor  Ann  W.  Richards  in  1991.    It  is  the  court  of  last 

6 


59 


resort  in  criminal  matters.  It  exercises  discretionary  authority  over  decisions 
of  the  courts  of  appeal.  It  also  has  jurisdiction  over  post-conviction  writs  of 
habeas  corpus  and  prohibition  and  mandamus  action. 


1 5.  CitgtiQns;  if  you  are  or  have  been  a  judge,  provide:  (1 )  citations  for  the  ten  most 
significant  opinions  you  have  written;  (2)  a  short  summary  of  and  citations  for  all 
appellate  opinions  where  your  decisions  were  reversed  or  where  your  judgment 
was  affirmed  with  significant  criticism  of  your  substantive  or  procedural  rulings-  and 
(3)  citations  for  significant  opinions  on  federal  or  state  constitutioral  issues 
together  with  the  citation  to  appellate  court  rulings  on  such  opinions.  If  any  of  the 
opinions  listed  were  not  officially  reported,  please  provide  copies  of  the  opinions. 

(1)       a.        NancyJohnsonv.  Del  Mar  DistributJng  Co.,  Inc.;  776  SW  2d  768  (Tex 
App--Corpus  Christi,  1989) 

b.  State  National  Bank  v.  Academia,  Inc.,  et  al\  802  SW  2d  282  CTex 
App-Corpus  Christi,  1990) 

c.  Benjamin  Trapnell  v.  Honorable  Jack  E.  Hunter,  758  SW  2d  426  (Tex 
App-Corpus  Christi,  1990) 

d.  Thomas  v.  State  of  Texas;  821  SW  2d  618  (Tex  Crim  App,  1991) 

e.  Unscomb  v.  State  of  Texas;  829  SW  2d  164  (Tex  Crim  App.  1992) 

f.  Garcia  v.  State  of  Texas;  829  SW  2d  796  (Tex  Crim  App.  1992) 

g.  National  Union  Fire  Insurance  v.  Valero  Energy  Corp  •  777  SW  2d  501 
(Tex  App-Corpus  Christi.  1989) 

h.        Estate  of  Herman  Scott  v.  Victoria  County;  778  SW  2d  585  fTex  Add- 
Corpus  Christi,  1989) 

i.         McNamara  v.  Freedom  Newspapers,  Inc. ;  802  SW  2d  901  fTex  Add- 
Corpus  Christi.  1991)  ^^ 

j.         Physicians  and  Surgeons  General  v.  George  Koblizek  et  ux;  752  SW 
2d  657  (Tex  App-Corpus  Christi,  1988) 

(2)       a        Scurlock  Oil  Co.  v.  Smithwick;  724  SW  2d  1  (Tex  1986) 

The  case  involved  a  wrongful  death  action  in  which  there  were  multiple 
defendants.    During  the  trial  a  settlement  agreement  from  another  case 


60 


involving  the  same  defendants  was  improperly  introduced  in  evidence. 
Writing  for  the  13th  Court  of  Appeals,  I  had  held  that  the  complaint  on 
appeal  had  been  waived  when  the  complaining  party  had  used  the 
agreement  for  its  own  purposes.  Additionally,  I  held  that  even  if  the 
complaint  was  not  waived,  the  error  was  not  reversible  error.  Accordingly, 
the  final  judgment  in  favor  of  the  plaintiff  was  affirmed.  The  Supreme  Court 
of  Texas  reversed  the  Court  of  Appeals  holding  that  the  complaint  had  not 
been  waived  and  that  the  prejudicial  effect  of  the  improperly  admitted 
evidence  required  a  reversal  of  the  case,  and  remanded  for  a  new  trial. 

b.  Southern  Pacific  Transportation  Co.  v.  Luna;  724  SW  2d  383  (Tex, 
1987) 

The  action  was  for  damages  sustained  at  a  railroad  crossing  collision.  At 
trial,  the  plaintiffs  obtained  a  judgment  in  their  favor  based  upon  a  jury 
verdict.  On  appeal,  I  found  that  the  jury  finding  that  the  failure  of  the 
company  to  issue  sfsecial  restrictions  was  a  proximate  cause  of  the  collision 
fatality  conflicted  with  the  jury  finding  that  the  speed  the  train  was  travelling 
at  the  time  of  the  accident  was  not  negligent.  Accordingly,  the  Court  of 
Appeals  reversed  the  trial  court  judgment.  The  Supreme  Court  of  Texas 
reversed  the  Court  of  Appeals  tiecause  it  found  that  the  two  jury  findings 
could  reasonably  be  construed  in  such  a  manner  as  to  be  reconciled  in 
favor  of  the  judgment  rendered  on  the  jury  verdict 

c.  Leeco  Gas  &  Oil  Co.  v.  Smithwick;  736  SW  2d  629  fTex,  1987) 
The  case  involved  the  condemnation  by  a  government  unit  of  a  possibility 
of  reverter  and  the  damages  recoverable  by  the  owner  of  the  reversionary 
interest.  The  trial  court  allowed  the  condemnation  and  awarded  nominal 
damages.  On  appeal  to  the  13th  Court  of  Appeals,  and  writing  for  the 
Court,  I  upheld  the  condemnation  against  an  attack  that  the  government 
unit  was  estopped  to  condemn  a  reversionary  interest  retained  when  the 
government  unit  acquired  the  land  by  gift  from  its  grantor  (the  condemnee 
in  the  condemnation  action).  Additionally,  I  ruled  that  under  Texas  law,  the 
condemnee  was  entitled  to  receive  only  nominal  damages  for  the  taking  of 
his  reversionary  interest.  The  Supreme  Court  of  Texas  agreed  that  the 
government  unit  was  not  estopped  to  condemn  the  reversionary  interest; 
however,  the  Supreme  Court  announced  a  new  rule  in  Texas  cases  by 
which  compensation  for  condemnation  of  a  reversionary  interest  is  to  be 
computed  when  the  government  entity  is  a  grantee  in  a  gift  deed. 
Accordingly,  the  case  was  reversed  and  remanded  to  the  trial  court  for  a 
determination  of  the  compensation  to  be  paid  under  the  new  rule. 

d.  Estate  of  Hanau  v.  Hanau;  730  SW  2d  666  (Tex,  1987) 

The  case  involved  the  characterization  and  distribution  of  property  under  a 
will.  The  trial  court  held  that  properties  acquired  by  the  deceased  and  his 


61 


spouse  while  domiciled  in  a  common  law  state  (Illinois)  was  community 
property.  Writing  for  the  13th  Court  of  Appeals,  I  reversed  the  trial  court  by 
holding  that  the  property  retained  the  character  it  had  at  the  time  of  Its 
acquisition  and  was  not  community  property.  I  rejected  the  contention  that 
the  probate  code  or  the  new  rule  announced  in  Cameron  v.  Cameron 
allowed  the  trial  court  to  reclassify  the  character  of  the  property. 
Additionally,  I  found  that  certain  securities  were  not  sufficientiy  segregated 
and  traced  to  separate  property  so  as  to  rebut  the  presumption  of  being 
community  property.  The  Supreme  Court  of  Texas  affirmed  my  judgment 
as  to  the  general  characterization  of  the  property.  However,  the  Judgment 
was  reversed  in  part  because  the  Supreme  Court  found  the  evidence  was 
sufficient  to  destroy  the  statutory  presumption  that  the  securities  were 
community  property. 

e.        Dukes  v.  Migura;  770  SW  2d  568  (Tex,  1989) 
The  case  involves  a  suit  to  recover  a  debt  and  to  foreclose  a  lien.   The 
plaintiff.  Delphine  Migura,  in  a  prior  suit  had  sought  a  divorce  claiming  that 
she  had  a  common  law  man-iage  with  Mr.  Migura  During  the  pendency  of 
that  previous  suit,  Joy  Dukes  was  ceremoniously  married  to  Mr.  Migura 
Mr.  Migura  died  shortfy  thereafter.    After  the  death,  Delphine  Migura 
amended  her  petition  to  a  daim  against  the  executrix  of  Mr.  Migura's  estate, 
claiming  a  reimbursement  from  the  community  estate  based  upon  her 
common  law  marriage  daim.  The  executoix  and  Delphine  Migura  agreed  to 
a  judgment  that  declared  the  existence  of  the  common  law  maniage; 
divided  the  community  property  between  Delphine  and  the  estate,  and 
established  a  lien  of  $25,000  to  satisfy  Delphine's  daim  of  reimbursement 
against  real  property  Mr.  Migura  had  devised  to  Joy  Dukes.  Joy  Dukes  was 
not  a  party  to  this  previous  proceeding.  Delphine  then  brought  this  action 
for  the  $25,000  debt  and  foredose  of  lien  on  the  real  property  devised  to 
Joy.  The  trial  court  granted  Delphine  judgment  for  foredosure  of  the  debt 
and  foredosure  of  the  lien.  Writing  for  the  13th  Court  of  AppeaJs,  I  reversed 
the  trial  court,  holding  that  since  Joy  was  not  a  part  of  the  action  that 
created  a  lien  on  her  property,  the  agreed  judgment  sought  to  be  enforced 
was  void  as  to  Joy  Dukes.  The  Supreme  Court  reversed  the  judgment  of 
the  Court  of  Appeals,  holding  that  an  action  to  enforce  a  lien  does  not 
involve  titie  to  realty  and  Joy  Dukes  was  not  a  necessary  party  to  the  prior 
suit  The  judgment  of  the  trial  court  was  reinstated. 

f.  State  V.  Moreno;  807  SW  2d  327  (Tex  Crim  App,  1991) 
The  case  involves  the  question  whether  the  State  of  Texas  had  the  statutory 
right  to  appeal  a  trial  court's  order  dismissing  an  information.  The  trial  court 
had  sustained  a  motion  to  quash  that  complained  of  the  specificity  of  the 
Information  but  had  refused  to  sign  an  order  speciflcaify  dismissing  the 
case.  Writing  for  the  13th  Court  of  Appeals,  I  affimned  the  toial  court,  based 

9 


62 


on  the  applicable  statutory  provision  and  previous  Texas  case  law  on  that 
issue.  The  Texas  Court  of  Criminal  Appeals  reversed  based  on  the 
construction  of  a  similar  federal  rule  and  determined  that  the  quashing  of 
the  indictment  effectively  terminated  the  prosecution;  and  accordingly 
determined  that  the  State  had  the  right  to  appeal  the  granting  of  a  motion 
to  quash. 

g.  Rodriguez  v.  State;  804  SW  2d  516  (Tex  Grim  App,  1991) 
This  case  involves  the  question  of  vi^ether  it  is  the  State  or  an  accused  who 
has  the  burden  to  show  diligence  in  prosecuting  a  motion  to  revoke 
probation.  The  motion  to  revoke  was  filed  and  the  arrest  warrant  was 
issued  before  the  expiration  of  the  defendant's  probationary  period. 
However,  the  arrest  warrant  was  executed  and  the  hearing  on  the  state's 
motion  was  heard  after  the  probationary  period  had  expired.  I  affirmed  the 
trial  court,  holding  that  the  timely  filing  of  the  motion  and  issuance  of  the 
warrant  gave  the  trial  court  jurisdiction  over  the  proceeding  and  it  was 
incumbent  upon  the  defendant  to  develop  and  carry  the  burden  on  the 
issue  of  the  State's  failure  to  use  due  diligence.  The  Texas  Court  of 
Criminal  Appeals  reversed,  holding  that  once  the  issue  of  due  diligence  was 
raised,  the  State  had  the  burden  of  proof  on  the  issue  and  having  failed  to 
meet  its  burden,  the  trial  court  was  without  jurisdiction  to  revoke  the 
defendant's  probation. 

h.  Williams  v.  State;  851  SW  2d  282  (Tex  Crim  App.  1983) 
This  case  involves  the  question  of  which  party  has  the  burden  to  produce 
evidence  and  the  burden  of  persuasion  on  the  exception  to  the  punishment 
provided  for  the  offense  of  aggravated  kidnapping  (V.T.C.A.  Penal  Code, 
section  20.046).  The  defendant  was  convicted  of  aggravated  kidnapping 
and  aggravated  sexual  assault  and  assessed  a  life  sentence  for  each 
offense.  Writing  for  the  13th  Court  of  Appeals,  I  affirmed  the  trial  court 
judgment  and  sentence  for  aggravated  sexual  assault  and  reversed  the 
aggravated  kidnapping  conviction,  finding  egregious  error  in  the  trial  court's 
improperly  instructing  the  jury  with  respect  to  the  provisions  of  section 
20.046.  In  a  case  of  first  impression,  the  Court  of  Appeals'  opinion  placed 
the  burden  of  production  and  persuasion  on  the  State.  TTie  Court  of 
Criminal  Appeals  agreed  that  the  instruction  given  the  jury  was  in  error  but 
did  not  believe  the  error  to  be  egregious.  Egregious  error  is  necessary  in 
Texas  to  reverse  a  conviction  in  a  criminal  case  where  the  error  is  in  the 
charging  instrument  and  no  objection  is  made  in  the  trial  court  The  Court 
of  Criminal  Appeals  also  determined  that  the  burden  of  production  was  on 
the  accused,  not  the  State,  but  it  did  agree  that  the  burden  of  persuasion 
was  on  the  State.  Finding  no  egregious  error,  the  opinion  of  the  Court  of 
Appeals  was  reversed  as  to  the  aggravated  kidnapping  case  and  affirmed 
as  to  the  aggravated  sexual  assault  case. 

10 


63 


(3)       See   list  of  citations  attached  for  opinions  touching  federal  or  state 
constitutional  issues. 


16.  Public  Office:  State  (chronologically)  any  public  offices  you  have  held,  other  than 
judicial  offices,  including  the  terms  of  service  and  whether  such  positions  were 
elected  or  appointed.  State  (chronologically)  any  unsuccessful  candidacies  for 
elective  public  office. 

a.  1983-1989,  Commissioner,  Texas  Juvenile  Probation  Com.nission; 
appointment  by  Governor  Mark  White 

b.  I  was  unsuccessful  in  seeking  election  for  a  full  term  to  the  Texas 
Court  of  Criminal  Appeals  in  the  general  election  held  November  of  1992. 


17.       Legal  Career: 

a.        Describe  chronologically  your  law  practice  and  experience  after  graduation 
from  law  school  including: 

1.  whether  you  served  as  clerk  to  a  judge,  and  if  so,  the  name  of  the 
judge,  the  court,  and  the  dates  of  the  period  you  were  a  clerk; 

I  did  not  serve  as  a  clerk  to  a  judge. 

2.  whether  you  practiced  alone  and,  if  so,  the  addresses  and  dates; 

(a)  1977:    Sole  Practice  of  Law;  1011  Pecan  Street,  McAllen, 
Texas  78501 

(b)  1980:    Sole  Practice  of  Law  and  of  Counsel  to  Yzaguirre, 
Chapa  &  Trevino;  821  Nolana,  McAllen,  Texas  78504 

3.  the  dates,  names  and  addresses  of  law  firms  or  offices,  companies 
or  governmental  agencies  with  which  you  have  been  connected,  and  the 
nature  of  your  connection  with  each; 

(a)  1972-1974:  Associate,  Rankin,  Kern  &  Martinez  (now  Mullins 
&  Rankin,  Inc.);  804  Pecan  Street,  McAllen,  Texas  78501 

(b)  1974:  Partner,  Cisneros,  Beery  &  Benavides;  W.  Erie  Street, 

11 


64 


McAllen,  Texas  78501 

(c)  1975:    Partner,  Cisneros,  Brown  &  Benavides;  1011  Pecan 
Street,  McAllen,  Texas  78501 

(d)  1976:    Partner.  Cisneros  &  Benavides;  1011  Pecan  Street. 
McAllen,  Texas  78501 

(e)  1977-1979:  Judge,  Hidalgo  County  Court  at  Law  #2;  Hidalgo 
County  Courthouse,  Edinburg,  Texas  78539 

(f)  1981-1984:    Judge.  92nd  District  Court  of  Hidalgo  County, 
Texas;  Hidalgo  County  Courthouse,  Edinburg,  Texas  78539 

(g)  1983-1989:       Commissioner.    Texas    Juvenile    Probation 
Commission;  2015  South  IH  35,  Austin,  Texas  78741 

(h)       1984-April  1991 :  Justice,  Thirteenth  Court  of  Appeals;  Tenth 
Roor,  Nueces  County  Courthouse,  Corpus  Christi,  Texas  78401 

(!)        May  1991 -December  1992:   Judge,  Texas  Court  of  Criminal 
Appeals;  Supreme  Court  Building,  Austin,  Texas  78711 

0)        1993:  Visiting  Judge,  by  appointment  of  Thomas  R.  Phillips, 
Chief  Justice  of  the  Supreme  Court  of  Texas 

(k)       November  1993-present:    Partner,  Atlas  &  Hall.  LLP.;  818 
Pecan,  PC  Box  3725,  McAllen,  Texas  78502-3725 

1.        What  has  been  the  general  character  of  your  law  practice,  dividing 
it  into  periods  with  dates  if  its  character  has  changed  over  the  years? 

During  the  first  two  years  of  practice,  approximately  80%  of 
my  work  was  devoted  to  civil  litigation.  Approximately  10%  of  my 
work  was  devoted  to  criminal  matters  in  the  State  and  federal  courts, 
and  the  remaining  10%  was  devoted  to  work  for  the  city  of  McAllen. 
city  of  Mission,  and  to  serving  as  general  counsel  for  the  Pharr,  San 
Juan,  Alamo  Independent  School  District.  Beginning  in  the  summer 
of  1974.  and  until  1977  and  in  the  year  1980,  the  percentage  of 
criminal  work  in  the  State  and  federal  courts  increased  to 
approximately  45%  of  my  caseload.  During  this  time,  approximately 
45%  of  my  work  included  civil  law  and  civil  litigation  and  10%  was 
devoted  to  representing  the  Pharr,  San  Juan,  Alamo  Independent 
School  District  and  serving  as  trial  counsel  for  the  Hidalgo  County 

12 


65 


Child  Welfare  Agency  (now  the  Department  of  Human  Resources, 
Child  Protection  Sen/ices,  Hidalgo  County  Unit). 

2.        Descritje  your  typical  former  dients  and  mention  the  areas,  if  any,  in 
which  you  have  specialized. 

Because  my  practice  was  varied  and  in  tioth  the  civil  and 
criminal  law  areas,  I  do  not  have  a  truly  typical  client.  I  participated 
in  land  disputes,  family  law  matters,  tort  defense,  tort  prosecution, 
election  contests,  contract  disputes,  proljate  disputes,  school  law 
matters,  etc...  Many  of  my  clients  were  also  charged  with  crimes,  a 
number  of  whom  were  indigent.  During  the  first  two  years  of  practice 
my  clients  were  more  likely  to  be  a  middle-  to  upper-income 
businessman,  professional  person,  or  corporate  client  whose  case 
had  been  assigned  to  me  by  one  of  the  senior  partners  at  Rankin, 
Kern  &  Martinez.  After  leaving  that  law  firm,  my  clients  more  likely 
were  lower-  to  middle-income  with  family  law  or  contractual  law 
problems.  I  represented  the  Phan*.  San  Juan,  Alamo  Independent 
School  District  as  general  and  trial  counsel  almost  continuously 
throughout  my  period  in  private  practice. 

1 .  Did  you  appear  in  court  frequently,  occasionally,  or  not  at  all?  If  the 
frequency  of  your  appearances  in  court  varied,  describe  each  such 
variance,  giving  dates. 

Frequently 

2.  What  percentage  of  these  appearances  was  in: 

(a)  federal  courts 

(b)  state  courts  of  record 

(c)  other  courts 


3.  What  percentage  of  your  litigation  was: 

(a)  Civil 

(b)  Criminal 

4.  State  the  number  of  cases  in  courts  of  record  you  tried  to  verdict  or 

13 


1972-1974 

3% 

1974-1977,  1980 

30% 

1972-1974 

93% 

1974-1977,  1980 

70% 

1972-1974 

4% 

1974-1977,  1980 

0% 

1972-1974. 

85% 

1974-1977,  1980: 

50% 

1972-1974: 

15% 

1974-1977,  1980: 

50% 

66 


judgment  (rather  than  settled),  indicating  whether  you  were  sole  counsel, 
chief  counsel,  or  associate  counsel. 

Sole  Counsel  28 

Chief  Counsel  4 

Associate  Counsel  30 

5.        What  percentage  of  these  trials  was: 

(a)  jury  34% 

(b)  non-jury  66% 


18.  LJtigation:  Describe  the  ten  most  significant  litigated  matters  which  you  personally 
handled.  Give  the  citations,  if  the  cases  were  reported,  and  the  docket  number 
and  date  if  unreported.  Give  a  capsule  summary  of  the  substance  of  each  case. 
Identify  the  party  or  parties  whom  you  represented;  describe  in  detail  the  nature 
of  your  participation  in  the  litigation  and  the  final  disposition  of  the  case.  Also  state 
as  to  each  case: 

a.  the  date  of  representation; 

b.  the  name  of  the  court  and  the  name  of  the  judge  or  judges  before  whom 
the  case  was  litigated;  and 

(c)       the  individual  name,  addresses,  and  telephone  numbers  of  co-counsel  and 
of  principal  counsel  for  each  of  the  other  parties. 

1.  USA  V.  Bamiro  Gonzalez,  559  F  2d  1271  (5th  Cir,  1977).  In  1976. 1 
assisted  my  law  partner,  Joe  A.  Cisneros,  at  trial.  I  appealed  the  conviction 
and  secured  reversal  in  1977.  The  case  was  tried  to  a  jury  before  Judge 
Owen  D.  Cox,  Jr.  (deceased)  and,  on  appeal,  was  heard  before  Judges 
Thornberry,  Ainsworth,  and  Roney. 

The  accused  was  charged  with  conspiracy  with  intent  to  distribute 
marijuana.  The  prosecution's  case  depended  on  the  testimony  of  an 
alleged  co-conspirator  who  refused  to  testify  at  trial.  His  grand  jury 
testimony  was  used  at  trial  to  secure  a  conviction  at  trial.  I  undertook  the 
appeal  and  wrote  the  appellate  brief.  On  appeal,  I  was  able  to  show  that 
the  statements  of  the  co-conspirator  were  not  against  his  interest,  nor  did 
they  have  an  equivalent  guarantee  of  trustworthiness.  The  testimony  did 
not  qualify  as  an  exceptbn  to  the  hearsay  rule. 

Co-counsel  at  trial:  Joe  A  Cisneros,  3827  North  10th  Street,  McAllen, 
Texas;  (512)  282-1883 

Opposing  counsel  at  trial:  George  A.  Kelt,  Assistant  US  Attorney,  Suite  900, 
440  Louisiana  Street  Houston.  Texas  77002;  (713)  238-9519 

14 


67 


Opposing  counsel  on  appeal:  Mary  L  Sinderson,  former  Assistant  US 
Attorney,  Houston,  Texas 

2.  State  V.  Jesus  Cruz,  #0-611  in  the  139th  District  Oourt  of  Hidalgo 
Oounty,  Texas.  The  judge  was  Fidencio  M.  Guerra,  Jr.  and  the  trial  was 
January  10-14,  1977. 

I  represented,  as  sole  counsel,  the  accused  who  was  charged  with 
aggravated  assault  on  a  peace  officer.  The  accused  turned  down  an  offer 
to  plead  to  a  misdemeanor  assault  charge,  insisting  that  he  had  acted  in 
self-defense.  My  investigation  revealed  that  the  alleged  victim,  a  peace 
officer,  had  sexual  relations  with  a  girl  who  was  with  the  accused  at  the  time 
of  the  alleged  offense.  The  accused  had  been  an  MP  in  Vietnam  and  the 
alleged  victim  had  to  be  hospitalized  from  a  blow  delivered  by  the  accused. 
The  jury  believed  the  accused.  I  understand  that  one  of  the  police  officers 
was  reprimanded  and/or  excused  as  a  result  of  the  matters  revealed  at  triall 
Opposing  counsel:  Joe  A.  Conners,  Assistant  District  Attorney  (now  in 
private  practice,  804  Pecan  Street,  McAllen,  TX  78502  [512-687-6217]) 

3.  State  V.  Elias  Juarez,  #B-765  in  the  93rd  District  Court  of  Hidalgo 
Oounty,  Texas.  Tried  in  1977,  the  trial  judge  was  Magus  F.  Smith,  Jr. 
(deceased). 

In  the  aftermath  of  a  well-publicized  murder  trial  in  Hidalgo  Oounty,  Texas, 
the  accused  was  charged  with  tampering  with  a  v^ntness.  Mr.  Juarez,  a 
former  investigator  with  the  Hidalgo  Oounty  Sheriffs  Office,  had  been  hired 
as  an  investigator  by  an  attorney  for  the  accused  murderer.  I  understand 
that  Mr.  Juarez  was  so  adept  at  his  work  that  he  was  able  to  locate  and 
interview  a  number  of  witnesses  even  before  the  local  police  authorities. 
Although  the  State  was  successful  in  the  murder  prosecution  (I  was  not  an 
attorney  in  the  murder  case),  it  nonetheless  sought  and  obtained  an 
indictinent  against  Mr.  Juarez  for  jury  tampering.  I  was  sole  counsel  for  Mr. 
Juarez  and  tried  the  case  before  a  jury,  which  acquitted  my  client 
Opposing  counsel:  Rdencio  M.  Guerra,  Jr.,  now  Judge  of  the  370th  Disti-ict 
Oourt,  Hidalgo  Oounty  Oourthouse,  100  North  Olosner,  Edinburg,  Texas 
78539;  (210)  318-2280 

4.  Garcia  v.  Pharr,  Sa/j  Juan,  Alamo  Independent  School  District 
(PSJA),  Oase  No.  1 1073, 1390i  Distiict  Oourt,  Hidalgo  Oounty,  Texas.  Tried 
and  disposed  of  on  motion  January  10,  1974.  The  toial  judge  was  Meriin 
Johnson.  The  case  is  reported  at  512  SW  2d  636. 

I  was  sole  counsel  for  PSJA.  Mr.  Garda  filed  suit  alleging  violation  of  his 
civil  rights  when  he  was  discharged  as  a  teacher  for  running  for  office  in 
violation  of  school  policy.  After  discovery,  I  secured  a  judgment  dismissing 
the  case  on  the  basis,  among  others,  that  he  could  not  bring  suit  because 
he  had  not  exhausted  his  administrative  remedies.  The  case  was  appealed 

15 


68 


and  the  judgment  was  affirmed. 

Opposing  counsel:     Filemon  B.  Vela,  now  US  District  Judge,  Federal 

Courthouse,  500  East  10th  Street,  Brownsville,  Texas  78520;  (210)  548-2500 

5.  Sanchez  v.  Brandt,  No.  D-473,  20eth  District  Court  of  Hidalgo 
County,  Texas.  Tried  in  the  spring  of  1977,  judgment  was  signed  July  1, 
1977.  The  judge  was  Joe  B.  Evins,  Hidalgo  County  Courthouse,  Edinburg, 
Texas. 

I  was  sole  counsel  for  Brandt,  who  had  sold  rural  property  by  contract  of 
sale  to  Sanchez.  Mr.  Sanchez  lived  in  Illinois  and  had  another  residence  in 
Mission,  Texas.  Brandt  sought  to  declare  forfeiture  and  Sanchez  claimed 
a  violation  of  a  Texas  statute  dealing  with  notice  of  default  and  forfeiture  on 
property  on  which  the  vendee  resides.  The  jury  found  for  Mr.  Sanchez. 
The  trial  court  nevertheless  granted  a  judgment  non  obstante  veredicto  on 
the  basis  that  the  statute  did  not  apply  to  unimproved  rural  property  on 
which  the  vendee  did  not  actually  live  or  occupy.  Unfortunately  for  Mr. 
Brandt,  the  case  was  reversed  on  appeal,  and  the  appeal  is  reported  at  567 
SW  2d  254. 

Opposing  counsel:  George  Powell,  5921  North  23rd,  McAllen,  Texas  78501 ; 
(210)  686-2413 

6.  Estate  of  Zamora  v.  Rodriguez,  517  SW  2d  838  (Tex  App-Corpus 
Christi,  1975).  The  judge  was  Walter  Kelly,  Hidalgo  County  Court  at  Law. 
I  was  sole  counsel  for  Mrs.  Rodriguez,  who  was  the  subject  of  eviction 
proceedings  brought  by  the  Zamora  Estate.  I  undertook  the  case  after  the 
justice  court  had  ordered  her  eviction.  I  filed  an  appeal,  which  was 
dismissed  as  untimely  by  the  County  Court  at  Law  judge.  I  undertook  a 
pro-bono  appeal  and  the  Court  of  Appeals  reversed  the  County  Court  at 
Law  and  reinstated  the  forcible  detainer  action  in  the  County  Court. 
Opposing  counsel:  Ralph  Vidaurri,  P.O.  Box  787,  1221  South  14th, 
Edinburg,  Texas  78540;  (512)  383-2467 


19.  Legal  Activities:  Describe  the  most  significant  legal  activities  you  have  pursued, 
including  significant  litigation  which  did  not  progress  to  trial  or  legal  matters  that 
did  not  involve  litigation.  Describe  the  nature  of  your  participation  in  this  question, 
please  omit  any  information  protected  by  the  attorney-client  privilege  (unless  the 
privilege  has  been  waived). 

While  a  District  Judge  in  Hidalgo  County,  I  took  on  responsibility  for 
establishing  a  residential  facility  for  juvenile  offenders.  I  was  able  to  acquire 
commitments  from  the  commissioners'  court  for  a  facility,  funding  from  the 
State  of  Texas,  and  the  county  for  equipment,  improvement  of  facilities  and 

16 


69 


the  operation  of  the  facility.  In  addition,  I  had  to  secure  permission  from  the 
City  of  Weslaco.  The  Ramiro  Guerra  Youth  Center  is  still  operating  with 
room  for  52  male  juveniles.  In  addition,  I  am  assured  that  efforts  are  being 
taken  by  the  local  authorities  now  in  charge  to  expand  the  facility  to  house 
young  female  offenders. 


II.   FINANCIAL  DATA  AND  CONFLICT  OF  INTEREST  (PUBLIC) 


List  sources,  amounts  and  dates  of  all  anticipated  receipts  from  deferred  income 
arrangements,  stock,  options,  uncompleted  contracts  and  other  future  benefits 
which  you  expect  to  derive  from  previous  business  relationships,  professional 
services,  firm  memberships,  former  employers,  clients,  or  customers.  Please 
describe  the  arrangements  you  have  made  to  be  compensated  in  the  future  for 
any  financial  or  business  interest. 

None,  except  for  retirement  benefits  due  me  from  the  Texas 
Employees  Retirement  System.  The  amounts  due  are  dependent  on 
whether  I  draw  benefits  upon  realizing  the  age  of  55  or  60  years.  Because 
I  served  continuously  for  over  12  years,  I  should  receive  50%  of  the  amount 
then  paid  to  a  judge  on  the  Texas  Court  of  Criminal  Appeals  tf  I  retire  at  age 
55,  and  60%  of  such  amount  if  I  retire  at  age  60  (the  annual  pay  of  a  judge 
on  the  Texas  Court  of  Criminal  Appeals  is  preserrtly  in  the  neighborhood  of 
$90,300.00).  Additionally,  I  own  a  1/3rd  undivided  interest  in  10  acres  of 
land  in  Hidalgo  County  with  two  individuals.  I  expect  that,  upon  the  sale  of 
the  land,  I  will  recover  1/3rd  of  the  proceeds. 


2.  Explain  how  you  will  resolve  any  potential  conflict  of  interest,  including  the 
procedure  you  will  follow  in  determining  these  areas  of  concern.  Identify  the 
categories  of  litigation  and  financial  arrangements  that  are  likely  to  present  potential 
conflicts  of  interest  during  your  initial  service  in  the  position  to  which  you  have 
been  nominated. 

Lawyers  of  cases  on  appeal  should  disclose  names  of  all  lawyers 
and  parties  with  an  interest  in  a  case  so  that  a  justice  can  determine 
vtrhether  he  has  a  financial  interest  in  the  case,  or  a  family  or  financial 

17 


70 


interest  with  a  party.  In  addition,  the  issues  in  the  case  should  be  examined 
to  determine  whether  the  resolution  of  the  issues  will  likely  affect  the 
financial  interest  of  the  justice.  If  an  examination  reveals  a  conflict  or 
appearance  of  impropriety,  I  would  voluntarily  recuse  myself.  In  addition, 
I  would  adhere  to  the  Canons  of  the  Code  of  Conduct  for  Judges  and  abide 
by  the  directives  and  advisory  opinions  of  the  Committee  on  the  Codes  of 
Conduct  I  am  aware  of  no  areas  of  litigation  that  would  be  likely  to  present 
themselves  which  would  create  a  conflict  of  interest  by  my  initial  service. 

Do  you  have  any  plans,  commitments,  or  agreements  to  pursue  outside 
employment,  with  cr  without  compensation,  during  your  sen/ice  with  the  court? 
If  so,  explain. 

No 


List  sources  and  amounts  of  all  income  received  during  the  calendar  year 
preceding  your  nomination  and  for  the  current  calendar  year,  including  all  salaries, 
fees,  dividends,  interest,  gifts,  rents,  royalties,  patents,  honoraria,  and  other  items 
exceeding  $500  or  more.  (If  you  prefer  to  do  so,  copies  of  the  financial  disclosure 
report,  required  by  the  Ethics  in  Government  Act  of  1978,  may  be  substituted 
here.) 

1993  SOURCES  OF  PERSONAL  INCOME 


State  of  Texas 

a.  Court  of  Criminal  Appeals 

b.  Services  as  Visiting  Judge 
Nueces  County,  Texas 

El  Paso  County,  Texas 

Bexar  County,  Texas 

Bee  County,  Texas 

San  Patricio  County,  Texas 

Brooks  County,  Texas 

Atlas  &  Hall,  McAllen,  Texas 

Texas  Commerce  Bank,  Austin 


8,282.38 

Salary 

41,881.45 

Salary  and  per  diem 

613.27 

Supplemental     pay     and 

expenses  for  Visiting  Judge 

1,998.59 

Same  as  above 

1,079.58 

Same  as  above 

823.44 

Same  as  above 

887.72 

Same  as  above 

665.28 

Same  as  above 

36,833.00 

Salary 

682.93 

Interest 

1994  SOURCES  OF  PERSONAL  INCOME 


Atlas  &  Hall,  McAllen,  Texas         28,666.64      Salary 


18 


71 


Please  complete  the  attached  financial  net  worth  statement  in  detail  (Add 
schedules  as  called  for). 

Attached. 


Have  you  ever  held  a  position  or  played  a  role  in  a  political  campaign?  If  so, 
please  identify  the  particulars  of  the  campaign,  including  the  candidate,  dates  of 
the  campaign,  your  title  and  responsibilities. 

I  have  not,  except  for  my  own  campaigns  as  a  candidate  for  office  as 
follows: 

a.  1978:  I  ran  unopposed  for  Judge  of  the  Hidalgo  County  Court  at 
Law  No.  2. 

b.  1980:  I  ran  and  secured  the  Democratic  party  nomination  for  Judge 
of  the  92nd  District  Court  of  Hidalgo  County,  Texas  against  two  opponents. 
I  ran  unopposed  in  the  1980  general  election. 

c.  1988:  I  ran  unopposed  for  a  full  term  as  a  justice  on  the  13th  Court 
of  Appeals  of  Texas. 

d.  1992:  I  ran  for  a  full  term  on  the  Texas  Court  of  Criminal  Appeals. 
I  was  unopposed  in  the  Democratic  party  primary,  but  I  was  defeated  at  the 
November  general  election. 


III.   GENERAL  (PUBUC) 

1.  An  ethical  consideration  under  Canon  2  of  the  American  Bar  Association's  Code 
of  Professional  Responsibility  calls  for  "every  lawyer,  regardless  of  professional 
prominence  or  professional  workload,  to  find  some  time  to  participate  in  serving 
the  disadvantaged."  Describe  what  you  have  done  to  fulfill  these  responsibilities, 
listing  specific  instances  and  the  amount  of  time  devoted  to  each. 

a.  I  appealed  a  case  pro-bono  {Estate  of  Zamora  v.  Rodriguez,  51 7  SW 
2d  838  (Tex  App,  13th  District  74)  for  a  woman  who  was  being  removed 
from  her  residence.  The  time  spent  on  this  appeal  was  three  days. 

19 


72 


b.  I  served  as  a  director  of  the  Easter  Seals  Society  for  adults  and 
crippled  children  in  McAllen,  Texas.  I  attended  monthly  meetings  and 
helped  advise  the  organization  is  its  policies  and  practices.  I  spent  four 
years  with  this  organization. 

c.  i  appeared  in  dvil  cases  while  as  lawyer  on  numerous  occasions  pro- 
bono  and  accepted  State  court  appointments  to  represent  indigents 
accused  of  crimes. 


The  American  Bar  Association's  Commentary  to  its  Code  of  Judicial  Conduct 
states  that  it  is  inappropriate  for  a  judge  to  hold  membership  in  any  organization 
that  invidiously  discriminates  on  the  basis  of  race,  sex.  or  religion.  Do  you 
currently  belong,  or  have  you  belonged,  to  any  organization  which  discriminates  - 
-  through  either  formal  membership  requirements  or  the  practical  implementation 
of  membership  policies?  If  so,  list,  with  dates  of  memljership.  What  have  you 
done  to  try  to  change  these  policies? 

I  am  not  presently  a  member  of  any  such  organization.  At  the 
University  of  Houston  from  1965  to  1968,  I  was  a  memt>er  of  a  college- 
sanctioned  national  sodal  fraternity:  Phi  Sigma  Kappa.  Only  males  were 
allowed  membership  and  I  have  not  made  any  effort  to  change  the  policies. 
Additionally,  in  1990 1  was  invited  and  joined  a  voluntary  service  organization 
in  Corpus  Christi,  Texas,  known  as  the  Mustangs  of  Corpus  Christi. 
Although  I  am  not  familiar  with  its  rules  or  by-laws,  there  were  no  female 
members.  The  sole  activity  of  the  organization  was  to  donate  food,  cook 
the  barbecue,  and  serve  the  food  and  barbecue  at  fund-raising  dinners  held 
on  behalf  of  charitable,  civic,  and  educational  groups  or  organizations.  It 
did  not  solicit  money  or  sell  tickets,  but  simply  donated,  cooked,  and 
served.  I  made  no  effort  to  change  the  policy  if  indeed  one  exists.  I  left  the 
organization  in  1991  when  I  moved  to  Austin  and  I  was  listed  as  an 
honorary  member  in  1992. 


3.  Is  there  a  selection  commission  in  your  jurisdiction  to  recommend  candkjates  for 
nomination  to  the  federal  courts?  If  so,  did  it  recommend  your  nominatksn? 
Please  descrilje  your  experience  in  the  entire  judicial  selection  process,  from 
beginning  to  end  (including  the  circumstances  which  led  to  your  nominatkxi  and 
interviews  in  which  you  participated). 

I  am  not  aware  of  the  existence  of  a  selection  committee  in  Texas  for 
nomination  to  the  U.S.  Court  of  Appeals  for  the  Fifth  Circuit.  Around  mkj- 
August  of  1993, 1  received  an  inquiry  from  a  friend  as  to  whether  I  would  be 
interested  in  a  position  on  the  Fifth  Circuit.    On  Thursday,  September  9. 

20 


73 


1993.  I  received  a  call  from  the  White  House  Counsel's  office.  I  was 
advised  that  the  President  was  considering  my  appointment  to  the  Frfth 
Circuit  and  that  certain  forms  would  be  sent  to  me.  in  November  of  1993, 
I  was  interviewed  by  Ron  Wain,  an  Assistant  Counsel  to  the  President,  and 
also  by  Bernard  Nussbaum,  the  White  House  Counsel,  and  other  members 
of  the  President's  staff.  I  have  submitted  information  to  and  have  been 
interviewed  by  the  Federal  Bureau  of  Investigation  and  the  American  Bar 
Association.  I  have  also  submitted  information  to  the  U.S.  Department  of 
Justice. 


4.  Has  anyone  involved  in  the  process  of  selecting  you  as  a  judicial  nominee 
discussed  with  you  any  specific  case,  legal  issue  or  question  in  a  manner  that 
could  reasonably  be  interpreted  as  asking  hovy  you  would  rule  on  such  case,  issue 
or  question?  If  so,  please  explain  fully. 

No 


5.        Please  discuss  your  views  on  the  foilowi  ig  criticism  involving  "judicial  activism." 

The  role  of  the  Federal  judiciary  within  \re  Federal  government,  and  within  society 
generally,  has  become  the  subject  of  increasing  controversy  in  recent  years.  It  has 
become  the  target  of  both  popular  an;;l  academic  criticism  that  alleges  that  the 
judicial  branch  has  usurped  many  of  th(j  prerogatives  of  other  branches  and  levels 
of  government. 

Some  of  the  characteristics  of  this  "jutlicial  activism"  have  been  said  to  include: 

a.  a  tendency  by  the  judiciary  towiird  problem-solution  rather  than  grievance- 
resolution; 

b.  a  tendency  by  the  judiciary  to  employ  the  individual  plaintiff  as  a  vehicle  for 
the  imposition  of  far-reaching  orders  extending  to  broad  classes  of  individuals; 

c.  a  tendency  by  the  judiciary  to  impose  broad,  affirmative  duties  upon 
governments  and  society; 

d.  a  tendency  by  the  judiciary  toward  loosening  jurisdictional  requirements 
such  as  standing  and  ripeness;  and 

e.  a  tendency  by  the  judiciary  to  impose  itself  upon  other  institutions  in  the 
manner  of  an  administrator  with  continuing  oversight  responsibilities. 


21 


74 


It  is  the  function  of  the  courts  to  resolve  disputes  arising  between 
parties  to  litigation.  Certainty  a  problem  must  exist  in  order  for  there  to  be 
a  dispute.  However,  the  courts  should  be  careful  to  resolve  issues 
according  to  law  and  with  an  understanding  of  the  respective  role  of  the 
executive  and  legislative  branches.  Courts  should  be  aware  of  the 
differences  between  their  own  desire  and  beliefs  and  those  required  by  the 
laws  of  the  legislature  and  the  Constitution.  If  not,  the  courts  jeopardize 
representative  government.  The  cornerstone  of  our  way  of  life  is 
democracy,  not  judicial  oligarchy. 

The  judiciary  she  jld  resolve  the  issues  and  controversy  between  the 
parties  to  litigation  (and  not  others  not  a  part  of  the  proceedings). 
However,  because  precedent  is  (and  should  be)  an  important  and  well- 
established  component  of  our  law.  It  follows  that  rulings  will  tend  to  extend 
to  and  effect  others  not  a  part  of  the  case.  The  reliance  on  precedent 
provides  a  stability  and  predictability  necessary  to  the  civil,  criminal, 
contract,  and  commercial  law.  People  need  to  know  what  the  rules  are  and 
expect  others  to  follow  them.  Courts  must  insist  on  maintaining  the  integrity 
of  their  orders  by  being  able  to  enforce  their  decisions,  but  should  exercise 
care  that  an  individual  in  not  denied  his  day  in  court. 

When  the  government  or  society  has  a  broad,  affirmative  duty 
imposed  by  the  Constitution  or  by  lawful  legislative  statutes,  the  judge  must 
declare  that  duty  when  called  upon  in  a  proper  case.  The  imposition  of 
such  duties  when  they  ariseshould  come  from  the  law.  A  court  is 
cowardly  if  it  does  not  enforce  the  law.  A  court  usurps  its  role  in  our 
constitutional  democracy  when  it  imposes  any  duty,  broad  or  narrow,  not 
required  by  law  or  necessary  to  carry  out  the  law. 

I  believe  traditional  rules  for  ripenesand  standing  are  necessary  to 
Insure  that  the  proper  parties  with  an  existing  dispute  come  before  the  court 
and  so  that  the  courts  may  avoid  injecting  themselves  into  our  system  as 
the  arbiters  of  emerging  policy.  Courts  are  not  well  suited  to  be 
administrators.  The  judicial  and  executive  branches  should,  for  the  most 
part,  be  afforded  an  opportunity  to  correct  problems.  Only  when  an 
individual  or  institution  is  recalcitrant  or  unwilling  to  perform  its  legal  duties, 
should  the  court  as  a  last  resort,  and  then  only  for  the  shortest  period  to 
insure  lawful  compliance,  undertake  the  administration  of  an  institution. 
Even  then,  such  should  not  be  a  general  administration,  but  only  measures 
necessary  to  effectively  protect  the  rights  established  by  the  Constitution 
and  by  Congress. 


22 


75 


ATTACHMEMT  RELATED  TO  PART  I.  IHQDIRY  15(3) 

Texas  Cases,  691-B54  S.W.2d 

Results  only 
Query:  ju (benavides)  t   constitution! 


Docunentt 


CITATION 


COURT/ YEAR 


TITLE 


853  S.W.2d  527  (Tex.Cr.App.  1992) 

848  S.W.2d  126  (Tex.Cr.App.  1992) 

843  S.W.2d  586  (Tex.Cr.App.  1992) 

834  S.W.2d  357  (Tex.Cr.App.  1992) 

831  S.H.2d  331  (Tex.Cr.App.  1992) 

829  S.W.2d  164  (Tex.Cr.App.  1992) 

829  S.W.2d  191  (Tex.Cr.App.  1992) 

829  S.W.2d  796  (Tex.Cr.App.  1992) 

828  S.W.2d  1  (Tex.Cr.App.  1992) 

823  S.W.2d  284  (Tex.Cr.App.  1991) 

823  S.W.2d  660  (Tex.Cr.App.  1992) 

821  S.W.2d  616  (Tex.Cr.App.  1991) 

819  S.W.2d  806  (Tex.Cr.App.  1991) 

817  S.W.2d  64  (Tex.Cr.App.  1991) 

817  S.W.2d  77  (Tex.Cr.App.  1991) 

815  S.W.2d  560  (Tex.Cr.App.  1991) 

815  S.W.2d  656  (Tex.Cr.App.  1991) 

807  S.W.2d  8  ( Tex. App. -Corpus  Christi 

807  S.W.2d  878  (Tex. App. -Corpus  Christi 

806  S.H.2d  900  (Tex. App. -Corpue  Christi 

803  S.W.2d  808  (Tax. App. -Corpus  Christi 

802  S.W.2d  386  (Tex. App. -Corpus  Christi 

802  S.W.2d  901  (Tex. App. -Corpue  Christi 

801  S.W.2d  12  (Tex. App. -Corpus  Christi 

800  S.W.2d  320  (Tex. App. -Corpus  Christi 

797  S.W.2d  243  (Tex. App. -Corpus  Christi 

797  S.W.2d  272  (Tex. App. -Corpus  Christi 

791  S.W.2d  226  (Tex. App. -Corpus  Christi 

789  S.H.2d  688  (Tex. App. -Corpus  Christi 

785  S.W.2d  426  (Tex. App. -Corpus  Christi 

780  S.W.2d  497  (Tex. App. -Corpus  Christi 

779  S.W.2d  83  (Tex. App. -Corpus  Christi 

779  S.W.2d  884  (Tex. App. -Corpus  Christi 

778  S.W.2d  585  (Tex. App. -Corpus  Christi 

774  S.W.2d  771  (Tex. App. -Corpus  Christi 

772  S.W.2d  271  (Tex. App. -Corpus  Christi 

771  S.W.2d  573  (Tex. App. -Corpus  Christi 

769  S.w.2d  661  (Tex. App. -Corpus  Christi 

768  S.W.2d  755  (Tex. App. -Corpus  Christi 

767  S.W.2d  197  (Tex. App. -Corpus  Christi 

764  S.W.2d  846  (Tex. App. -Corpus  Christi 

764  S.W.2d  903  (Tex. App. -Corpus  Christi 

763  S.w.2d  38  (Tex. App. -Corpus  Christi 

761  S.W.2d  549  (Tex. App. -Corpus  Christi 

760  S.W.2d  681  (Tex. App. -Corpus  Christi 

760  S.W.2d  778  (Tex. App. -Corpus  Christi 

752  S.W.2d  734  (Tex. App. -Corpus  Christi 

750  S.H.2d  906  (Tex. App. -Corpus  Christi 

738  S.W.2d  378  (Tex. App. -Corpue  Christi 

736  S.W.2d  134  (Tex. App. -Corpus  Christi 


Johnson  v.  State 

Nelson  V.  state 

Chavez  v.  State 

Arcila  V.  State 

Draughon  v.  State 

Linsconb  v.  State 

Fuller  V.  State 

Garcia  v.  State 

Phynes  v.  State 

Ex  parte  Bower 

Greenwood  v.  State 

Thomas  v.  State 

Hernandez  v.  State 

State  V.  EngelJcing 

Ex  parte  McGee 

Lewis  V.  State 

Ellason  V.  State 

Castillo  V.  State 

Burns  v.  State 

Estate  of  Hanau,  In  re 

Olson  V.  Central  Power  and. . 

Poindexter  v.  State 

McNanara  v.  Freedom  Newspa.. 

£x  parte  Haskin 

State  By  and  Through  Matto. . 

Smith  V.  State 

Lopez  V.  State 

Villegas  v.  State 

wisenbarger  v.  Gonzales  Wa. . 

Trapnell  v.  Hunter 

Martin  v.  State 

City  of  Robstown  v.  Barrera 

Rodriguez  v.  State 

Estate  of  Scott  v.  Victor i.. 

Hargrove  v.  State 

State  V.  Benavides 

Fishman  v.  State 

State  v.  Moreno 

Southwestern  Bell  Telephon. . 

King  v.  Bauer 

Burns  v.  State 

Gunther  v.  State 

state  V.  Brady 

McKinney  v.  State 

Guerra  v.  State 

Hosey  v.  State 

Reyes  v.  State 

Garcia  Rodriguez  v.  State 

Roe  v.  State 

Town  of  South  Padre  Island.. 


76 


Texas  Cases,  691-854  S.W.2d 

Results  only 
Query:  ju(benavideE)  i   constitution! 


Docur.ents 


CITATION 


COURT/ YEAR 


TITLE 


716 
716 
707 
706 
704 
703 
698 
697 
697 
697 


,W.2d 
.W.2d 
,H.2d 
.W.2d 
.W.2d 
,H.2d 
,W.2d 
.W.2d 
,W.2d 


693  S 


2d 
2d 


578 
615 
171 
717 
397 
708 
435 
702 
753 
774 
528 


(Tex.App. 
(Tex.App. 
(Tex.App. 
{Tex.App. 
(Tex.App. 
(Tex.App. 
(Tex.App. 
(Tex.App. 
(Tex.App. 
(Tex.App. 
(Tex.App. 


-Corpus  Christi 
-Corpus  Christi 
13  Oist.  1986) 
13  Dist.  1986) 
13  Dist.  1985) 
13  Dist.  1985) 
13  Dist.  1985) 
13  Dist.  1985) 
13  Di3t.  198j) 
13  Dist.  1985) 
13  Dist.  1985) 


, .  Corpus  Christi  Taxpayer's  ... 
, .  Leeco  Gas  (  Oil  Co.  v.  Nue... 

Esterline  v.  State 

Chase  V.  State 

Chaires  v.  State 

Wyatt  V.  General  Motors  Corp. 

Vista  Chevrolet,  Inc.  v.  B 

Dill  V.  state 

A.  Wolfson's  Sons,  Inc.  v.... 

Sattervhite  v.  State 

Botello  V.  state 


Texas  Cases,  481-690  S.H.2d 

Results  only 
Query:  ju(benavides)  (  constitution! 


Documents 


CITATION 


COURT/ YEAR 


TITLE 


688  S.W.2d  631   (Tex.App.  13  Dist.  1985) 
687  S.W.2d  114   (Tex.App.  13  Dist.  1985) 


Sinast  V.  state 
Jones  V.  State 


77 

ATTACHMENT  RELATED  TO  PART  II,  INQUIRY  5 

FINANCIAL  STATEMENT 
NET  WORTH 


Fortunato  P.  Benavides  (includes  spouse  and  dependent  children) 
463-84-2221 


ASSETS 

Cash  on  hand  and  in  banks  $    66,91 1.66 

US  Government  securities-add  schedule  0.00 

Listed  securities-add  schedule  0.00 

Unlisted  securities-add  schedule 
Accounts  and  notes  receivable:  0.00 

Due  from  relatives  and  friends 

Due  from  others 

Doubtful 
Real  estate  owned-add  schedule-see  Schedule  A  322,701.08 

Real  estate  mortgages  receivable  0.00 

Autos  and  other  personal  property  54,000.00 

Cash  value-life  insurance  15,107.00 

Other  assets-itemize: 

Spouse  beneficiary  of  trusts;  trustee  is 

Rrst  Union  National  Bank  of  Rorida*  1,840,121.82 

Horses  11.000.00 


Total  Assets  $2,309,841.56 


CONTINGENT  LlABIUTIES 

As  endorser,  comaker  or  guarantor  0.00 

On  leases  or  contracts  773.00 

Legal  Claims  0.00 

Provision  for  Federal  Income  Tax  12,300.00 

Other  special  debt  0.00 


UABIUTIES 

Notes  payable  to  banks-secured  0.00 

Notes  payable  to  banks-unsecured  0.00 

Notes  payable  to  relatives  0.00 


78 


Notes  payable  to  others  0.00 

Accounts  and  bills  due  6,690.08 

Unpaid  income  tax  0.00 

Other  unpaid  tax  and  interest  0.00 

Real  estate  mortgages  payable-add  schedule-see  Schedule  C  177,710.97 

Chattel  mortgages  and  other  liens  payable  6,600.00 

Other  debts-itemize:  0.00 


Total  liabilities  $  204,074.05 

Net  Worth  $2,105,767.51 

Total  Labilities  and  net  worth  $2,309,841.56 


General  Information 

Are  any  assets  pledged?  (Add  schedule.)  No 

Are  you  defendant  in  any  suits  or  legal  actions?  No 

Have  you  ever  taken  bankruptcy?  No 


*  Value  of  five  separate  trusts  based  on  market  value  of  each  trust  x  (times)  spouse's 
percentage  of  net  income  interest  in  each  trust;  value  of  separate  annuity  trust  based 
on  present  value  of  monthly  annuity  during  spouse's  lifetime. 


79 


SCHEDULE  A 


Real  Estate  Interests  owned  by  self,  spouse,  and  Immediate  members  of  family: 


1.  1/7  owner  interest  in  0.62  acres,  Hidalgo,  TX  $     571.08 

2.  1/3  owner  Interest  in  2  lots  and  improvement. 

Crow  Wing  County,  MN  30,000.00 

3.  .000831  royalty  interest  in  land  in  Hidalgo  County,  TX  50.00 

4.  0091  non-part/royatty  interest  on  50  acres 

in  Starr  County,  TX  80.00 

5.  1/3  owner  10  rural  acres  in  Hidalgo  County,  TX, 

John  Sharp  Subdivision  33,000.00 

6.  1/8  owner  interest  of  portion  of  Section  34, 

Township  135,  Range  29,  Crow  Wing  County,  MN  10,000.00 

7.  owner,  homestead,  lot  and  house,  Austin,  TX  249.000.00 

Total  Real  Estate  $322,701.08 


SCHEDULE  B 


Specific  identification  of  liabilities  in  excess  of  $1 ,000: 


1.  Real  estate  mortgage  with  Banc  One  Mortgage  $177,710.97 

2.  Chattel  mortgage:  Valley  Financial  Service 

of  Phoenix,  AZ,  security  is  spouse's  truck  6,600.00 

3.  MasterCard  (2  accounts)  3.150.00 


Total  Uabilities  $187,460.97 


80 


SCHEDULE  C 


One  real  estate  mortgage  secured  by  home  in  Austin,  Texas 


Payee: 
Date  of  Note: 
Original  Amount: 
Term: 
Payments: 
Balance: 


Banc  One  Mortgage 

November  1991 

$180,000.CX) 

30  years 

Monthly  principal  and  interest  of  $1,422.03 

$177,710.97 


81 


RUBEH  CASTILLO 

CANDIDATE  FOR  THE 

NORTHERN  DISTRICT 

OF  ILLINOIS 

UNITED  STATES  SENATE 

QUESTIONNAIRE  FOR  JUDICIAL  NOMINEES 

BIOGRAPHICAL  INFORMATION  (PUBLIC) 

1.  Full  name  (Include  any  former  names  used.) 
ANSWER:    Ruben  Castillo 

2.  Address:   List  current  place  of  residence  and 
office  address (es). 

ANSWER:    Kirkland  &  Ellis 

200  East  Randolph  Drive 

Suite  5900 

Chicago,  Illinois  60601 

Home  Address: 

6015  North  Kilpatrick  Avenue 

Chicago,  Illinois  60646 

3.  Date  and  place  of  birth. 

ANSWER:    August  12,  1954  —  Chicago,  Illinois 

4.  Marital  Status  (include  maiden  name  of  wife,  or 
husband's  name).   List  spouse's  occupation, 
employer's  name  and  business  address(es). 

ANSWER:    Married  to  Sylvia  Mojica  Castillo  on 

August  12,  1978.   She  is  employed  as  a  social 
worker/therapist  by  Tom  Leo  and  Associates, 
1530  West  Wellington,  Chicago,  Illinois 
60657. 

5.  Education:   List  each  college  and  law  school  you 
have  attended,  including  dates  of  attendance, 
degrees  received,  and  dates  degrees  were  granted. 

ANSWER:    Loyola  University,  Chicago,  Illinois  —  1972 
to  1976  —  B.A.  Political  Science  (6/76) 

Northwestern  University  School  of  Law, 
Chicago,  Illinois  —  1976  to  June,  1979  J.D. 
(6/79) 

6.  Employment  Record:   List  (by  year)  all  business  or 
professional  corporations,  companies,  firms,  or 


82 


other  enterprises,  partnerships,  institutions  and 
organizations,  nonprofit  or  otherwise,  including 
firms,  with  which  you  were  connected  as  an 
officer,  director,  partner,  proprietor,  or 
employee  since  graduation  from  college. 

ANSWER:    1974-1979  —  Deputy  Clerk,  Circuit  Court  of 
Cook  County,  assigned  to  Night  Arraignment 
Court 

1979-1984  —  Associate  Attorney,  Jenner  & 
Block 

1984-1988  —  Assistant  United  States 
Attorney,  Northern  District  of  Illinois 

1988-1991  —  Regional  Counsel,  Mexican 
American  Legal  Defense  and  Educational  Fund 
("MALDEF") 

1991-  to  present  —  Partner,  Kirkland  &  Ellis 

1988  to  present  —  Adjunct  Professor  of  Trial 
Advocacy,  Northwestern  University  School  of 
Law 

7.  Military  Service:   Have  you  had  any  military 
service?   If  so,  give  particulars,  including  the 
dates,  branch  of  service,  rank  or  rate,  serial 
number  and  type  of  discharge  received. 

ANSWER:    None. 

8.  Honors  and  Awards;   List  any  scholarships, 
fellowships,  honorary  degrees,  and  honorary 
society  memberships  that  you  believe  would  be  of 
interest  to  the  Committee. 

ANSWER;    Recipient  of  Meritorious  Service  Award  by  the 
Illinois  State  Bar  Association  for  pro  bono 
work  on  behalf  of  indigent  criminal 
defendants,  June,  1983;  Recipient  of  FBI 
Commendations  for  outstanding  work  as  a 
Federal  Prosecutor  (March  and  November, 
1986)  ;  Recipient  of  Award  from  the  United 
States  Customs  Service  for  aggressive  and 
diligent  prosecution  of  a  currency  and  heroin 
smuggling  operation  (1987);  Recipient  of 
Certificate  of  Appreciation  from  Drug 
Enforcement  Administration  for  outstanding 


-  2  - 


83 


contributions  in  the  field  of  drug  law 
enforcement  (1988) ;  Recipient  of  United 
States  Secret  Service  Certificate  of 
Appreciation  for  superior  contributions  to 
service's  law  enforcement  responsibilities 
(1988);  Recipient  of  the  Maurice  Weigle  Award 
awarded  by  the  Chicago  Bar  Foundation  in 
recognition  of  outstanding  service  to  the 
Legal  Profession  and  Organized  Bar  during 
1989;  Selected  one  of  ten  outstanding  young 
citizens  by  Chicago  Jaycee  Organization, 
1989;  Selected  in  1990  for  "40  Under  40" 
Honor  by  Crain's  Chicago  Business  Magazine; 
Selected  Attorney  of  the  Year  in  1990  by 
Mexican  American  Lawyers  Association;  Awarded 
Community  Service  Award  by  Latin  American 
Police  Association,  1989;  Recipient  of 
Distinguished  Alumni  Citation  from  Loyola 
University  in  October,  1992;  Public  Service 
Award  by  Federal  Bar  Association,  October, 
1993. 

9.    Bar  Associations;   List  all  bar  associations, 
legal  or  judicial-related  committees  or 
conferences  of  which  you  are  or  have  been  a  member 
and  give  the  titles  and  dates  of  any  offices  which 
you  have  held  in  such  groups. 

ANSWER:    Vice  President,  Chicago  Council  of  Lawyers, 
1991-1993 

Member  of  Board  of  Governors,  Chicago  Council 
of  Lawyers,  1988-1991 

Member,  Latin  American  Bar  Association, 
1980  to  present 

Member,  American  Bar  Association,  1979  to 
present 

Board  Member,  Chicago  Bar  Foundation,  1991  to 
present 

Member,  Civil  Justice  Reform  Act  Advisory 
Group  of  the  United  States  District  Court  for 
the  Northern  District  of  Illinois  (1991  to 
1993) 


-  3  - 


84 


Member  of  Advisory  Board  of  Children  and 
Family  Justice  Center  Northwestern  University 
Legal  Clinic  (1992  to  the  present) 

Appointed  by  the  Illinois  Supreme  Court  to 
the  Special  Commission  on  Administration  of 
Justice  (Member  of  the  Judicial  Selection 
Task  Force)  (1991  to  1993). 

10.  Other  Memberships:   List  all  organizations  to 
which  you  belong  that  are  active  in  lobbying  before  public 
bodies.   Please  list  all  other  organizations  to  which  you  belong. 

ANSWER:    Former  member  of  Board  of  Directors  of  the 
Business  and  Professional  People  for  the 
Public  Interest  (BPI) ;  Former  Board  Member, 
Chicago  Legal  Clinic;  Current  Board  Member, 
Alumni  Association  of  Northwestern  University 
School  of  Law;  Appointed  in  1990  to  the 
Visiting  Committee  of  Northwestern  University 
School  of  Law. 

11.  Court  Admission:   List  all  courts  in  which  you 
have  been  admitted  to  practice,  with  dates  of 
admission  and  lapses  if  any  such  memberships 
lapsed.   Please  explain  the  reason  for  any  lapse 
of  membership.   Give  the  same  information  for 
administrative  bodies  which  require  special 
admission  to  practice. 

ANSWER:    Illinois  Supreme  Court  —  1979 

United  States  District  Court,  Northern 
District  of  Illinois  —  1979 

United  States  Court  of  Appeals  for  the 
Seventh  Circuit  —  1984 


12.   Published  Writings:   List  the  titles,  publishers, 
and  dates  of  books,  articles,  reports,  or  other 
published  material  you  have  written  or  edited. 
Please  supply  one  copy  of  all  published  material 
not  readily  available  to  the  Committee.   Also, 
please  supply  a  copy  of  all  speeches  by  you  on 
issues  involving  constitutional  law  or  legal 
policy.   If  there  were  press  reports  about  the 
speech,  and  they  are  readily  available  to  you, 
please  supply  them. 


-  4  - 


85 


ANSWER:    Note,  "Fifth  Amendment  -  Confession  and  the 

Right  to  Counsel,"  68  Journal  of  Criminal  Law 
and  Criminology  517  (1977)  Comment,  "The  Use 
of  Civil  Liability  To  Aid  Crime  Victims,  "70 
Journal  of  Criminal  Law  and  Criminology  57 
(1979) .  Copies  of  these  articles  are 
attached  at  Tab  1. 

13.   Health:  What  is  the  present  state  of  your 

health?  List  the  date  of  your  last  physical 
examination. 

ANSWER:    Good.   September  20,  1993 

14.  Judicial  Office;   State  (chronologically)  any 
judicial  offices  you  have  held,  whether  such 
position  was  elected  or  appointed,  and  a 
description  of  the  jurisdiction  of  each  such 
court. 

ANSWER:   Appointed  as  Court  Special  Master  in  Northern 
District  of  Illinois,  1990  to  1991,  and  as 
Court  Monitor,  1992  to  1993  by  United  States 
District  Court  Judge  James  B.  Zagel  (Northern 
District  of  Illinois)  in  Burgos,  et  al.  v. 
Ryder,  et  al. .  No.  75  C  3974.   My  work 
involved  monitoring  and  reporting  on  the 
ongoing  efforts  of  the  Illinois  Department  of 
Children  and  Family  Services  to  comply  with  a 
1977  court  decree  which  requires  the 
department  to  provide  bilingual  child  welfare 
services  to  clients  whose  primary  language  is 
Spanish. 

15.  Citations;   If  you  are  or  have  been  a  judge, 
provide;   (1)  citations  for  the  ten  most 
significant  opinions  you  have  written;  (2)  a  short 
summary  of  and  citations  for  all  appellate 
opinions  where  your  decisions  were  reversed  or 
where  your  judgment  was  affirmed  with  significant 
criticism  of  your  substantive  or  procedural 
rulings;  and  (3)  citations  for  significant 
opinions  on  federal  or  state  constitutional 
issues,  together  with  the  citation  to  appellate 
court  rulings  on  such  opinions.   If  any  of  the 
opinions  listed  were  not  officially  reported, 
please  provide  copies  of  the  opinions. 

ANSWER:    I  have  not  written  any  judicial  opinions. 


-  5  - 


86 


16.  Public  Office;   State  (chronologically)  any  public 
offices  you  have  held,  other  than  judicial 
offices,  including  the  terms  of  service  and 
whether  such  positions  were  elected  or  appointed. 
State  (chronologically)  any  unsuccessful 
candidacies  for  elective  public  office. 

ANSWER:    Appointed  by  Mayor  Daley  in  May  of  1989  to 
serve  on  a  three  member  blue  ribbon  panel 
which  recommended  revisions  to  the  City's 
Minority  and  Female  Purchasing  Set-Aside 
Program . 

Appointed  by  Mayor  Daley  in  April  of  1992  to 
serve  on  a  nine  member  City  of  Chicago  Gaming 
Commission  which  reviewed  the  desirability 
and  feasibility  of  developing  a  single-site 
casino,  hotel,  and  family  entertainment 
complex  in  or  near  Downtown  Chicago.   (Chair 
of  the  Legal/Regulatory  Committee) . 

17.  Legal  Career; 

a.  Describe  chronologically  your  law  practice 
and  experience  after  graduation  from  law 
school  including; 

(1)  whether  you  served  as  clerk  to  a  judge, 
and  if  so,  the  name  of  the  judge,  the 
court,  and  the  dates  of  the  period  you 
were  a  clerk; 

(2)  whether  you  practiced  alone,  and  if  so, 
the  addresses  and  dates; 

(3)  the  dates,  names  and  addresses  of  law 
firms  or  offices,  companies  or 
governmental  agencies  with  which  you 
have  been  connected,  and  the  nature  of 
your  connection  with  each; 

b.  (1)   What  has  been  the  general  character  of 

your  law  practice,  dividing  it  into 
periods  with  dates  if  its  character  has 
changed  over  the  years? 

(2)   Describe  your  typical  former  clients, 

and  mention  the  areas,  if  any,  in  which 
you  have  specialized. 


-  6  - 


87 


c.    (1)   Did  you  appear  in  court  frequently, 
occasionally,  or  not  at  all?   If  the 
frequency  of  your  appearances  in  court 
varied,  describe  each  such  variance, 
giving  dates. 

(2)  What  percentage  of  these  appearances  was 
in: 

(a)  federal  courts;  J 

(b)  state  courts  of  record; 

(c)  other  courts. 

(3)  What  percentage  of  your  litigation  was: 

(a)  civil; 

(b)  criminal. 

(4)  State  the  number  of  cases  in  courts  of 
record  you  tried  to  verdict  or  judgment 
(rather  than  settled) ,  indicating 
whether  you  were  sole  counsel,  chief 
counsel,  or  associate  counsel. 

(5)  What  percentage  of  these  trials  was: 

(a)  jury; 

(b)  non-jury. 

ANSWER:        I  did  not  serve  as  a  traditional  federal 
law  clerk.   In  order  to  finance  my  college 
and  law  school  education  I  served  as  a  state 
clerk  to  a  Cook  County  local  arraignment 
court  which  held  sessions  at  night. 

From  June,  1979  to  April,  1984,  I  worked 
as  an  associate  attorney  with  the  law  firm  of 
Jenner  &  Block  located  at  One  IBM  Plaza  in 
Chicago,  Illinois  60611.   During  this  time 
period  my  legal  practice  consisted  primarily 
of  general  civil  and  criminal  litigation.  My 
typical  clients  included  both  individuals  and 
corporations.   I  also  participated  in  various 
civil  rights  and  criminal  law  litigation 
matters  on  a  pro  bono  basis.   During  my 
litigation  practice  at  Jenner  I  split  my 
appearances  evenly  between  federal  and  state 
court,  and  spent  80%  of  my  time  on  civil 
litigation  and  the  remaining  20%  on  criminal 
litigation. 


-  7  - 


88 


In  April  of  1984  I  accepted  an 
appointment  as  an  Assistant  United  States 
Attorney  in  the  Northern  District  of 
Illinois.   I  worked  at  the  United  State's 
Attorney's  Office  located  at  219  South 
Dearborn  Street,  Suite  1200,  Chicago, 
Illinois  60602.   > rom  April  of  1984  through 
April  of  1988  my  : ractice  consisted 
exclusively  of  tht  investigation,  preparation 
and  trial  of  federal  criminal  prosecutions. 
My  only  client  during  this  time  period  was 
the  United  States   During  this  time  period  I 
served  as  lead  pr  secutor  in  over  twenty-five 
trials,  which  inc  uded  more  than  twenty  jury 
trials. 

In  April  of   988  I  became  the  Director 
and  Regional  Coun.  el   of  the  Chicago  Office  of 
the  Mexican  American  Legal  Defense  and 
Educational  Fund  ("MALDEF"),  which  was 
located  at  542  South  Dearborn  Street, 
Suite  750,  Chicago,  Illinois  60605.   From 
April  of  1988  to  April  of  1991  I  supervised 
and  participated  in  various  federal  class 
action  litigation  on  behalf  of  Hispanic 
clients.   During  this  time  period  I  solely 
practiced  civil  litigation  and  primarily 
handled  employment  discrimination,  voting 
rights,  education  and  immigration  cases. 
Ninety  percent  of  my  court  appearances  were 
in  federal  court. 

In  May  of  1991  I  became  a  partner  at  my 
present  law  firm  of  Kirkland  &  Ellis  in 
Chicago.   I  presently  work  at  Kirkland 's 
office  at  200  East  Randolph  Drive,  Chicago, 
Illinois  60601.   My  practice  consists  of  both 
civil  (40%)  and  criminal  defense  litigation 
(60%).   My  typical  clients  are  large  Chicago 
based  corporations.   I  have  also  continued  to 
represent  individual  clients  on  both  a  pro 
bono  and  paid  basis.   Ninety  percent  of  my 
court  appearances  are  in  federal  court. 

I  have  tried  over  thirty  cases  to 
verdict  or  judgment  as  both  chief  and  sole 
counsel.   Ninety  percent  of  these  cases  were 
jury  trial  cases. 


89 


I  have  never  practiced  alone  during  my 
legal  career. 

18.   Litigation;   Describe  the  ten  most  significant 
litigated  matters  which  you  personally  handled. 
Give  the  citations,  if  the  cases  were  reported, 
and  the  docket  number  and  date  if  unreported. 
Give  a  capsule  summary  of  the  substance  of  each 
case.   Identify  the  party  or  parties  whom  you 
represented;  describe  in  detail  the  nature  of  your 
participation  in  the  litigation  and  the  final 
disposition  of  the  case.   Also  state  as  to  each 
case: 

a.  the  date  of  representation; 

b.  the  name  of  the  court  and  the  name  of  the 
judge  or  judges  before  whom  the  case  was 
litigated;  and 

c.  the  individual  name,  addresses,  and  telephone 
numbers  of  co-counsel  and  of  principal 
counsel  for  each  of  the  other  parties. 

AKSWER:    1.    Shy,  et  al.  v.  Navistar.  Case  No. 
C-3-92-333  (Judge  Rice,  W.D.  Ohio, 
1992) .   This  EKISA  class  action  case 
involved  numerous  novel  litigation 
issues  as  well  as  complicated  tax  and 
federal  securities  issues,  and  proceeded 
on  a  parallel  basis  in  two  separate 
federal  districts.   I  was  one  of  the 
main  attorneys  for  Navistar  throughout 
this  litigation.   My  primary  co-counsel 
were  Emily  Nicklin  and  Michael  Kerr, 
Kirkland  &  Ellis,  200  East  Randolph 
Drive,  Chicago,  Illinois  (312)  861-2000. 
My  opponents  were  represented  by  Daniel 
Sherrick,  Associate  General  Counsel 
International  Union,  United  Automobile, 
Aerospace  and  Agricultural  Implement 
Workers  of  America,  8000  East  Jefferson, 
Detroit,  Michigan  48214,  Tel.  No.  (313) 
926-5216,  and  Julia  Penny  Clark, 
Bredhoff  &  Kaiser,  1000  Connecticut 
Ave.,  N.W.,  Suite  1300,  Washington,  D.C. 
20036,  Tel.  No.  (202)  833-9340.   This 
case  was  settled  in  1993  and  the  class 
settlement  was  approved  by  Judge  Rice  in 
July  of  1993. 


-  9 


90 


Hastert  v.  Board  of  Elections.  777  F. 
Supp.  634  (Judges  Conlon,  Norgle  and 
Kanne,  N.D.  111.  1991).   This  Illinois 
congressional  redistricting  case  led  to 
the  creation  of  Chicago's  first  Hispanic 
congressional  district.   I  was  the 
senior  litigation  attorney  for  Hispanic 
interests  in  this  case.   My  co-counsel 
on  this  case  were  Arturo  Jauregui, 
Mexican  American  Legal  Defense  and 
Educational  Fund,  542  South  Dearborn 
Street,  Chicago,  Illinois  60605  (312) 
427-9363,  and  Judson  H.  Miner,  Davis, 
Miner,  Barnhill,  14  West  Erie  Street, 
Chicago,  Illinois  60610,  Tel.  No.  (312) 
751-1170.   The  Republican  interests  in 
this  case  were  represented  by  Ty  Fahner 
of  Mayer,  Brown  &  Piatt,  190  South 
La  Salle  Street,  Chicago,  Illinois 
60603,  Tel.  No.  (312)  782-0600,  and  the 
Democratic  interests  were  represented  by 
William  J.  Harte,  111  West  Washington 
Street,  Suit€  1100,  Chicago,  Illinois 
60602,  Tel.  No.  (312)  726-5015 

Ortiz  V.  Fainnan.  et  al..  88-7509  (N.D. 
111.  Judge  Duff).   I  was  appointed  as 
lead  trial  counsel  to  represent  a 
prisoner  in  a  complex  prisoner  rights 
case.   This  trial  ended  in  one  of  the 
largest  individual  jury  awards  to 
plaintiff  —  $758,000.   On  December  29, 
1993  Judge  Duff  granted  the  defendants' 
motion  for  a  new  trial.   Thereafter,  the 
case  was  tentatively  settled  pursuant  to 
a  confidential  settlement  agreement. 
The  defendants  were  represented  by 
Assistant  Attorney  General  Roger  P. 
Flahaven,  100  West  Randolph  Street,  13th 
Floor,  Chicago,  Illinois  60601,  Tel.  No. 
(312)  814-3650  and  Assistant  Attorney 
General  Patricia  A.  Marshall,  100  West 
Randolph  Street,  13th  Floor,  Chicago, 
Illinois  60601,  Tel.  No.  (312)  814-5195. 

Hernandez  v.  Woodward.  714  F.  Supp.  1963 
(Judge  Duff,  N.D.  111.  1989).   This 
federal  voting  rights  class  action 
successfully  challenged  restrictive 
deputy  voter  registrar  practices  which 


-  10  - 


91 


adversely  affected  the  voter 
registration  of  Hispanic  voters.   I 
served  as  chief  counsel  for  plaintiffs 
in  this  case  which  was  successfully 
settled  after  the  entry  of  an  agreed 
temporary  restraining  order.   My  co- 
counsel  on  this  case  was  Arturo 
Jauregui,  Mexican  American  Legal  Defense 
and  Educational  Fund,  542  South  Dearborn 
Street,  Chicago,  Illinois  60605  (312) 
427-9363.   The  defendants  were 
represented  by  Stuart  D.  Gordon,  30 
North  La  Salle  Street,  Suite  2040, 
Chicago,  Illinois  60602,  Tel.  Nos.  (309) 
759-0800;  (312)  541-0707. 

5.  Ridge  v.  Verity,  et  al. .  715  F.  Supp, 
1308  (Judge  Standish,  W.D.  Pa.).   I 
argued  on  behalf  of  Hispanic  interests 
in  this  complex  multi-party  action  which 
challenged  the  inclusion  of  undocumented 
persons  in  the  1990  census.   The  parties 
are  listed  in  the  published  opinion. 
(See  Attachment  2)   The  defendants  were 
represented  by  Sandra  M.  Schraibman, 
Thomas  Peebles  and  Susan  Korytkowski , 
Attorneys,  U.S.  Department  of  Justice, 
Civil  Division,  Room  3744,  10th  & 
Pennsylvania  Avenue,  Washington,  D.C. 
20530,  Tel.  No.  (202)  514-2000. 

6.  U.S.  V.  Bentlev.  Deoan.  Josten  &  Yuna. 
No.  85  CR  267.   After  this  month  long 
jury  trial  before  Judge  PlunJcett  (N.D. 
111.)  convictions  were  returned  against 
all  defendants  in  this  commodities  case, 
including  the  first  successful 
prosecutions  of  lower  level  salesmen.   I 
served  as  one  of  the  chief  prosecutors 
in  this  case.   My  co-counsel  on  this 
case  was  former  federal  prosecutor  James 
R.  Ferguson  who  is  presently  with  the 
law  firm  of  Sonnenschein,  Nath  & 
Rosenthal,  800  Sears  Tower,  Chicago, 
Illinois  60606  (312)  876-3188.   I 
received  a  commendation  from  the  FBI  for 
my  work  on  this  case.   The  defendants 
were  represented  by  David  P.  Schippers, 
Schippers  &  Gilbert,  79  West  Monroe 
Street,  Suite  400,  Chicago,.  Illinois 


-  11  - 


92 


60603,  Tel.  No.  (312)  263-1200  and 
Martin  S.  Agran,  Agran  &  Agran  Ltd.,  105 
West  Madison  Street,  Suite  700,  Chicago, 
Illinois  60602,  Tel.  No.  (312)  236-2434. 

United  States  v.  Centracchio  &  Saleni. 
Nos.  84  CR  2678,  84  CR  2773  (N.D.  111.). 
This  was  a  three  week  bank  fraud 
prosecution  involving  the  Broadway 
National  Bank  which  I  successfully  tried 
along  with  now  Judge  Suzanne  Conlbn 
(Northern  District  of  Illinois,  Tel.  No. 
(312)  435-5595).   This  jury  trial  was 
tried  before  Judge  Shadur.   The 
defendants  were  represented  by  Frank 
Oliver,  current  address  and  telephone 
number  is  unknown,  and  Gerald  M. 
Werksman,  343  South  Dearborn  Street, 
Suite  1510,  Chicago,  Illinois  60604, 
Tel.  No.  (312)  372-5196. 

United  States  v.  Cosentino  &  Patterson. 

86  CR  359  (N.D.  111.,  Judge  Marvin 
Aspen) .   This  was  an  insurance  fraud 
trial  in  which  I  served  as  one  of  the 
lead  prosecutors.   My  co-counsel  was 
former  Assistant  United  States  Attorney 
Dan  DuPree  who  is  presently  employed  as 
an  attorney  at  the  Brunswick 
Corporation,  One  North  Field  Court,  Lake 
Forest,  Illinois  60045-4811,  Tel.  No. 
(708)  735-4700.   The  appeal  is  reported 
at  869  F.2d  301  (7th  Cir.  1989).   I 
received  a  commendation  from  the  FBI  for 
my  work  on  this  case.   The  defendants 
were  represented  by  Jerome  Rotenberg, 
Rosenfeld,  Rotenberg,  Hafron  &  Shapiro, 
Chicago,  Illinois,  Tel.  No.  (312)  372- 
6058. 

United  States  v.  Dr.  Bernard  Lerner. 

87  CR  268  (N.D.  111.,  Judge  Marvin 
Aspen) .   This  was  a  two  week  jury  trial 
in  which  I  served  as  one  of  the  lead 
prosecutors  which  successfully 
prosecuted  the  fraudulent  prescription 
activities  by  a  doctor  who  was  on  the 
staff  of  Northwestern  Memorial  Hospital. 
My  co-counsel  was  Phillip  A.  Turner,  a 
former  federal  prosecutor,  -who  is 


-  12  - 


93 


currently  a  partner  at  Turner,  Latz  « 
OlBStead,  200  West  Madison  Street, 
Suite  440,  Chicago,  Illinois  60606,  Tel. 
No.  (312)  899-0900.   The  defendant  was 
represented  by  Julius  Lucius  Echeles, 
300  North  State  Street,  Suite  4428, 
Chicago,  Illinois  60610,  Tel.  No.  (312) 
782-0711. 

10-   United  States  v.  OriamDo.  et  a1  ,  ^  No.  88 
CR  319  (N.D.  111.,  Judge  Harry 
Leinenweber) .   This  was  a  one  week 
narcotics  jury  trial  which  I 
successfully  tried  by  myself  in  1988. 
The  defendants  were  represented  by 
Dennis  Cooley,  155  North  Michigan 
Avenue,  Suite  716,  Chicago,  Illinois 
60601,  Tel.  No.  (312)  565-1966,  and 
Stuart  V.  Goldberg,  180  North  La  Salle 
Street,  Suite  1925,  Chicago, 
Illinois  60601,  Tel.  No.  (312) 
327-9400. 

^5-   Legal  Activities:   Describe  the  most  significant 
legal  activities  you  have  pursued,  including 
significant  litigation  which  did  not  progress  to 
trial  or  legal  matters  that  did  not  involve 
litigation.   Describe  the  nature  of  your 
participation  in  this  question,  please  omit  any 
information  protected  by  the  attorney-client 
privilege  (unless  the  privilege  has  been  waived) . 

ANSWER:    Throughout  my  career  I  have  devoted  myself  to 
improving  my  skills  as  a  trial  attorney.   I 
have  taught  Trial  Practice  at  Northwestern 
University  School  of  Law  as  an  adjunct 
professor  for  the  last  five  years  (1989-1994) 
and  I  have  also  served  as  an  instructor  at 
the  National  Institute  of  Trial  Advocacy 
("NITA")  during  the  same  time  period. 

During  the  last  two  years  I  have  devoted 
considerable  time  and  effort  to  improving  the 
local  court  systems  by  serving  as  the  Vice 
President  of  the  Chicago  Council  of  La%iryers 
and  by  my  service  on  the  Civil  Justice  Reform 
Act  Advisory  Group  for  the  Northern  District 
of  Illinois,  the  Illinois  Supreme  Court's 
Special  Commission  on  Administration  of 
Justice,  and  the  Advisory  Board  of  the 


-  13  - 


94 


Children  and  Family  Justice  Center  of  the 
Northwestern  University  Legal  Clinic. 
I  have  also  attempted  to  maintain  an  active 
community  involvement  throughout  my  career  as 
indicated  by  my  service  on  several  boards  of 
legal  services  organizations  as  well  as  my 
service  on  several  civic  commissions. 

II.   FINANCIAL  DATA  AND  CONFLICT  OF  INTEREST  (PUBLIC) 

1.  List  sources,  amounts  and  dates  of  all  anticipated 
receipts  from  deferred  income  arrangements,  stock, 
options,  uncompleted  contracts  and  other  future 
benefits  which  you  expect  to  derive  from  previous 
business  relationships,  professional  services, 
firm  memberships,  former  employers,  clients,  or 
customers .   Please  describe  the  arrangements  you 
have  made  to  be  compensated  in  the  future  for  any 
financial  or  business  interest. 

ANSWER:    None. 

2.  Explain  how  you  will  resolve  any  potential 
conflict  of  interest,  including  the  procedure  you 
will  follow  in  determining  these  areas  of  concern. 
Identify  the  categories  of  litigation  and 
financial  arrangements  that  are  likely  to  present 
potential  conf licts-of-interest  during  your 
initial  service  in  the  position  to  which  you  have 
been  nominated. 

ANSWER:    I  plan  to  strictly  follow  the  Code  of  Conduct 
for  United  States  Judges.   The  only  potential 
conflicts  of  interests  that  I  can  perceive 
are  related  to  personal  friendships  rather 
than  financial  arrangements.   I  will 
automatically  excuse  myself  from  hearing  any 
matters  in  which  the  parties  are  represented 
by  my  personal  friends.   In  addition,  because 
of  my  close  prior  association  with  NALDEF  I 
do  not  believe  it  would  be  appropriate  for  me 
to  preside  over  any  litigation  filed  by 
MALDEF  in  the  Northern  District  of  Illinois. 

3.  Do  you  have  any  plans,  commitments,  or  agreements 
to  pursue  outside  employment,  with  or  without 
compensation,  during  your  service  with  the  court? 
If  so,  explain. 


-  14 


95 


ANSWER:    With  the  permission  of  the  Chief  Judge  of  the 
Northern  District  of  Illinois  and  in 
compliance  with  the  Code  of  Conduct  for 
United  States  Judges,  I  plan  to  continue  my 
service  as  an  Adjunct  Professor  of  Trial 
Advocacy  at  Northwestern  University  School  of 
Law.   My  compensation  agreement  with 
Northwestern  is  $2,000  per  year  as  indicated 
m  the  attached  Financial  Disclosure  Report. 
(Tab  3) . 

4.    List  sources  and  amounts  of  all  income  received 

during  the  calendar  year  preceding  your  nomination 
and  for  the  current  calendar  year,  including  all 
salaries,  fees,  dividends,  interest,  gifts,  rents, 
royalties,  patents,  honoraria,  and  other  items 
exceeding  $500  or  more  (If  you  prefer  to  do  so, 
copies  of  the  financial  disclosure  report, 
required  by  the  Ethics  in  Government  Act  of  1978 
may  be  substituted  here.)  ' 

ANSWER:    See  attached  Financial  Disclosure  Reoort 
(Tab  3) .  ^        ' 

5.  Please  complete  the  attached  financial  net  worth 
statement  in  detail  (Add  schedules  as  called  for) . 

ANSWER:    See  Attached  Schedule,  (Tab  4). 

6.  Have  you  ever  held  a  position  or  played  a  role  in 
a  political  campaign?   If  so,  please  identify  the 
particulars  of  the  campaign,  including  the 
candidate,  dates  of  the  campaign,  your  title  and 
responsibilities . 

ANSWER:    I  have  not  played  an  active  role  in  any 
political  campaign.   I  have  served  on 
Political  Lawyers  Committees  for  U.S.  Senator 
Carol  Mosley-Braun;  State  Senator  Jesus 
Garcia  and  State  Senator  Miguel  del  Valle. 


III.  GENERAL  (PUBLIC) 


An  ethical  consideration  under  Canon  2  of  the 
American  Bar  Association's  Code  of  Professional 
Responsibility  calls  for  "every  lawyer,  regardless 
of  professional  prominence  or  professional 
workload,  to  find  some  time  to  participate  in 
serving  the  disadvantaged."  Describe  what  you 
have  done  to  fulfill  these  responsibilities. 


-  15  - 


96 


listing  specific  instances  and  the  amount  of  time 
devoted  to  each. 

ANSWER:    Throughout  my  legal  career  I  have  worked  on 

significant  pro  bono  litigation  and  worked  on 
various  efforts  at  improving  the  legal  system 
for  the  disadvantaged.   At  Jenner  &  Block  I 
worked  on  several  federal  civil  rights  cases 
as  well  as  a  pro  bono  murder  case.   At 
Kirkland  &  Ellis  I  worked  on  a  prisoner 
rights  trial  and  a  congressional 
redistricting  trial  on  a  pro  bono  basis. 

During  my  tenure  at  the  Mexican  American 
Legal  Defense  and  Educational  Fund  and 
throughout  my  service  on  various  boards  and 
commissions,  such  as  the  Chicago  Legal  Clinic 
and  the  Chicago  Bar  Foundation,  I  have  sought 
to  ensure  that  the  legal  system  became  more 
accessible  to  the  disadvantaged. 

I  estimate  that  I  have  spent  well  in  excess 
of  300  hours  per  year  on  pro  bono  matters. 

2.  The  American  Bar  Association's  Commentary  to  its 
Code  of  Judicial  Conduct  states  that  it  is 
inappropriate  for  a  judge  to  hold  membership  in 
any  organization  that  invidiously  discriminates  on 
the  basis  of  race,  sex,  or  religion.   Do  you 
currently  belong,  or  have  you  belonged,  to  any 
organization  which  discriminates  —  through  either 
formal  membership  requirements  or  the  practical 
implementation  of  membership  policies?   If  so, 
list,  with  dates  of  membership.   What  you  have 
done  to  try  to  change  these  policies? 

ANSWER:    I  am  not  and  have  never  been  a  member  of  any 
organization  of  this  type. 

3.  Is  there  a  selection  commission  in  your 
jurisdiction  to  recommend  candidates  for 
nomination  to  the  federal  courts?   If  so,  did  it 
recommend  your  nomination?   Please  describe  your 
experience  in  the  entire  judicial  selection 
process,  from  beginning  to  end  (including  the 
circumstances  which  led  to  your  nomination  and 
interviews  in  which  you  participated) . 

ANSWER:    Beginning  March  of  1993  I  submitted  a  formal 
application  with  a  26  member  Merit  Selection 


16  - 


97 


Commission  which  was  named  by  Senators  Sinon 
and  Carol  Mosley  Braun.   The  application  form 
was  similar  to  this  form.   Thereafter,  I  was 
one  of  forty-six  candidates  (out  of  130 
applicants)  that  was  formally  interviewed  by 
the  full  Commission.   In  July  of  1993  my  name 
was  among  the  names  of  ten  finalists  that 
were  submitted  to  the  Senators  by  the 
Commission.  After  all  ten  finalists  were 
interviewed  by  the  Senators  I  was  informed 
that  the  Senators  had  recommended  my 
nomination,  along  with  two  other  names,  for 
the  three  vacancies  which  currently  exist  in 
the  Northern  District  of  Illinois. 
Thereafter,  I  was  subjected  to  further 
evaluations  by  the  local  bar  associations  in 
Chicago.   I  was  found  qualified  to  serve  as  a 
federal  judge  by  the  Chicago  Council  of 
Lawyers  and  the  Chicago  Bar  Association.   I 
was  found  highly  qualified  by  the  Illinois 
State  Bar  Association.   During  the  last  five 
months  I  have  been  the  subject  of  further 
evaluations  by  the  Department  of  Justice,  the 
Federal  Bureau  of  Investigation  and  the 
American  Bar  Association.   I  was  formally 
interviewed  on  one  occasion  during  each  of 
these  investigations.   After  the  completion 
of  these  three  investigations  I  was  formally 
nominated  by  the  President  for  consideration 
by  the  Senate. 

Has  anyone  involved  in  the  process  of  selecting 
you  as  a  judicial  nominee  discussed  with  you  any 
specific  case,  legal  issue  or  question  in  a  manner 
that  could  reasonably  be  interpreted  as  asking  how 
you  would  rule  on  such  case,  issue,  or  question? 
If  so,  please  explain  fully. 


ANSWER:    No. 


Please  discuss  your  views  on  the  following 
criticism  involving  "judicial  activism." 

The  role  of  the  Federal  judiciary  within  the 
Federal  government,  and  within  society  generally, 
has  become  the  subject  of  increasing  controversy 
in  recent  years.   It  has  become  the  target  of  both 
popular  and  academic  criticism  that  alleges  that 
the  judicial  branch  has  usurped  many  of  the 
prerogatives  of  other  branches  and  levels  of 


17  - 


98 


government.   Some  of  the  characteristics  of  this 
"judicial  activism"  have  been  said  to  include: 

a.  A  tendency  by  the  judiciary  toward  problem- 
solution  rather  than  grievance-resolution; 

b.  A  tendency  by  the  judiciary  to  employ  the 
individual  plaintiff  as  a  vehicle  for  the 
imposition  of  far-reaching  orders  extending 
to  broad  classes  of  individuals; 

c.  A  tendency  by  the  judiciary  to  impose  broad, 
affirmative  duties  upon  governments  and 
society; 

d.  A  tendency  by  the  judiciary  toward  loosening 
jurisdictional  requirements  such  as  standing 
and  ripeness;  and 

e.  A  tendency  by  the  judiciary  to  impose  itself 
upon  other  institutions  in  the  manner  of  an 
administrator  with  continuing  oversight 
responsibilities . 

ANSWER:    Our  country  was  designed  to  have  a  three 

branch  form  of  government.   The  role  of  the 
judiciary  should  be  to  apply  (not  create)  the 
law  to  the  facts  presented  by  a  specific  case 
or  controversy.   It  is  a  fundamental  mistake 
for  the  judiciary  to  attempt  to  promulgate 
new  laws  or  duties  because  such  activities 
would  usurp  the  role  of  the  legislative 
branch  of  government.   By  the  same  token, 
most  legal  oversight  responsibilities  are 
properly  the  role  of  the  executive  branch  of 
government  and  should  not  be  the 
responsibility  of  the  judiciary.   The 
jurisdictional  requirements  are  vital  and 
important  to  the  proper  functioning  of  the 
federal  judiciary  and  help  to  ensure  that  the 
proper  cases  and  controversies  are  decided  by 
the  judicial  branch  of  government. 


-  18  - 


99 


FINANCIAL  DISCLOSURE  REPORT     KHRKsHjOrrnT""-- 

(9  u.a.c.A.  *pp.  t,  itioi-iui 


1.   r«r»OD  R*portlDg   (Last  oab«,    tlrat,   aiddl*  loltla.i 
Castillo,    Ruben 

2.    Court   or  Orgaolsatloa 

United    States   District    Court 
Northern  District   of   Illinois 

].  Data  of  aaport 

2/1/9A 

4.   Tltl*      (Artlcla   XII    3udg«*   Indlcat*  activa  or 

aanlor  atatua;   Haglatxata  iudaaa  lodlcata 
full-  or  fxl-tiMi) 

Active    Status 

S.   Haport  Typa  {chacic  appropriate  typa) 
X      aoKlaatloo.    Data    1/2//-A 
Initial       Anooal       Final 

6.   ftapoxllDg  Parlod 

1/1/93-2/1/94 

7.   Cbaabaxa  or  Of  flea  Mdraaa 

200   East    Randolph  Drive 

Suite   5900 

Chicago,    Illinois   60601 

e.   on   tlia  baala   of   tjia  loforsatlon  cootaload   Id   thla  Kaport,    It 
la,    la  vy  oplnloD,   Id  co^llanca  wlUi  applleabla  lawa  and 
x«gulatloaa 

KavlavlDg  offlcar  slonatura 

IMPORTANT   NOTES:     The  iAstrucaons     accompanying     this  form   must  be  followed.    Complete  ali  parts, 
cfaeddng  the  NONE  box  for  each  section  where  you  have  no  reportable  iDformatlon.    lign    on  last  page. 

I.     POSITIONS.     (Reporting  indmdual  on]y,  sec  pp.  7-8  of  Isstniaioos.) 

POSITION  NA.MB  OF  ORGANIZATION.^NTITY 


n 


NONE        (No  raportal)la  poaltlooa] 

Partner 

Board  Member 
Board  Member 


Kirkland  I.   Ellis  (5/91  to  Present) 


Business  and  Professional  People  for  Public  Interest 

(1591-7/53) 

Chicago  Legal  Clinic  (1991-7/93) 


II.     AGREEMENTS.     (Reponmg  individual  only;  sec  p  8-9  of  Instrunions.) 
DATE  PARTIES  AND  TERMS 


NONE        (Ho  raportabla  agraaaaata) 


III.     NON-INVESTMENT  INCOME,     (f.eponing  individual  and  spouse;  see  pp.  9-12  of  Instructions.) 


SOURCE  AND  TYPE 


D 


(Honoraria  only) 

NONE       (lo  raportabla  aoD-lDvaataact  loc  -aa) 


R.   Castillo 

1 

R.   Castillo 


R.    Castillo 


(S) 


Kirkland 

&   Ellis 

(1992) 

-  Law 

Firm 

Partner 

Kirkland 

&   Ellis 

(1993) 

-  Law 

Firm 

Partner 

Northwestern    University 

School 

of 

Law    (1994) 

Afljunct 
Tom   Leo 

rro: essor 

&   Associates    (1992)    Social 

Therapist 

(S) 


Tom   Leo   i   Associates    (1993)    Social    Therapist 


GROSS  INCOME 
(yours,  not  spouse'*) 


S  190.000 
$  215.000 
$         2,000 

$ 

$ 


100 


FINANCIAL  DISCLOSURE  REPORT  (cont'd) 


■  ■■•  of  PftTBoa  Itoportloo 

Ruben  Castillo 


o«t«  of 
2/1/94 


IV.    REIMBURSEMENTS  and  GIFTS  -  transportat  on,  lodging,  food,  entertainment. 


(Includes  those  to  spouse  and  dependent  children;  use  the  pt  rcnthctlcals  '(S)'  and  '(DC)'  to  Indicate  reportabk 
rclmburKDients  and  gifts  received  by  spouse  ana  dependec  children,  respectively.    See  pp.13-15  of  Insimctlaoa.) 

SOURCE  DESCRimN 

^      I       NONE       (lo  aucb  rvportabl*  rvlaburs^oti  or  gifts) 


E 


V.     OTHER  GIPTS.      (includes  those  lo  spouse  and  dependent  children;  use  the  parenthetlcals  *(S)'  and  '(DC)*  to 
Indicate  other  gifts  received  by  spouse  and  oepcndent  children,  respectively.  Sec  pp.1^16  of  Instmfittooa.) 


□ 


SOURCE 


NONE       (lo  sueb  taporubl*  gltto 


DESCRIPTION 


VAUJP 


Vi.    LIABILITIES. 


(Includes  those  of  spouse  and  dependeot  chii   .^n;  Indicate  where  applicable,  person  rcspooflMc 

.,: —  .u.. .L..*: — I  '/c^'  r„_ ...  !;„■,     .,,  «r  r-^.,^..   -/T.-  for  joint  UabLlity  of  —•«-*<"- 

18  oilnstructioos.) 


for  liabUit>  by  usinj  the  parenthetical  "(S)'  for  separate  lial     »\  of  spouse,  '(J)"  for  joint  liability  of  reporting 
Individual  aoo  spouse,  and  '(DC)'  for  liability  of  a  dcpcndeni  child.    See  pp.lfr-'"       '     ' 


□ 


CREDITOR 
NONE       do  raporublo  llabllStloa) 


DE-S^RIPTION 


VALUE   CODE* 


J  •  tSS.OOO  or  laai 

■  -  J2SD,001  vo  SSOO.OOO 


a  •  lis, 001  ts  tso.oDO 

O  -    1500.001    to   si. 000, 000 


1    to  1100,000 
Jiu    tl, 000, 000 


M  •   1100,001  ts  UM.OOO 


101 


FINANCIAL  DISCLOSURE  REPORT  (cont'd) 


■tta*  of  P«r*oo  teporting 

Ruben  Castillo 


D«t«  of 

2/1/9A 


VII.    INVESTMENTS  and  TRUSTS  -  income,  value,  transactions.    (lociudu  those  or 

and  dcpeodcDt  children;  icc  pp.  lft-27  of  Instructions.) 


DMcrisUsa  of  Aw*ta 
(Iscla2Ia«  cnac  mmu) 

X»dlo«t«,   vb«r«  AppUc»bl«,   einwr  of 
t&«  ••••i  by  ualA^  i£*  p&r«BtJi«uc«l 

■  iTlft    LtB  pHoC   SGclSuT*. 

at  «ad  or 

Tr«B««ctloBa  during  r«partJj>g  parlod 

(1) 

(3) 

'ST: 

(!) 

I(  sot  aoapt  tzcm  4tielooi>z«              | 

Hon  til' 

Va  lotto 

IOM(|lr  ot 

NONE     lao  r«port«tl» 
Iwpr— ,   «•••(•.   or 

1 

1st    Nationwide   Bank   -   IRA 

A 

Int. 

J 

T 

None 

2 

Illinois   College   Bonds 

A 

Int. 

J 

T 

None 

3 

1st   Nationwide   Bank   -   IRA(s) 

A 

Int. 

J 

T 

None 

«    Putnam   U.S.    Govt.    Income   - 
IRA   Rollover   Plan(s) 

A 

Int. 

J 

T 

Buy 

1/1/9 

3     J 

A 

Putnam  Investme 

5 

* 

7 

• 

• 

SO 

11 

12 

13 

14 

IS 

It 

11 

>   H**^'?^;  Co<l»«i        »-S1.001)  or   loot                     l-Sl.OOl  to  12,500                     C-$2,501   to   5,000                       O-»S,O01   to  915.000 
•  AT*       1     •,    "   *    "'         I-Sli-OOl    to   550,000             r-S5D.O01    to   5100, OOD                0-5100,00)    to   51.000,000        B-Horo   than    51,000.000 

2  ^.lu.  coo...                 J.}ll,tM  or  I..;               i!.!i5;661  to  554,655 U-h5,t51  to  iVii.bti, iPJlM,841  il  iSSilSdt — 

(»••  Col.    CI    i   031         »-5250,OOl    to   5500,000        0-5500,001    to    51.000.000        P-Mor«    th.n   51,000.000 

]  v.lo.  Mtiioa  CoOm:     6.*ppr.l..l                              »-Co.t   (r«tl  .Itit.  inly)     5>A»..>p.i.t*   '                          *-i«.b;il.rk«l 
(•••  Col.  ai                  U-loot  Valuo                           v-otter                                          ■•Sstlutv) 

102 


I        FINANCIAL  DISCLOSURE  REPORT  (coDl'd) 


Haas  of  PvraoD  Kaportlog 

Ruben  Castillo 


Dat«  of 

2/1/94 


VIII.    ADDITIONAL  INFORMATION  or  EXPLANATIONS,    (todict.  p.rt  of  Report.) 

1.   With  respect  to  Part  I,  I  have  served  since  1991  as  a  Board  of  Director  of  the 

Chicago  Bar  Foundation,  a  charitable  arm  of  our  local  Bar  Association. 

2.   mth  respect  to  item  5  in  Part  111,  I  began  teaching  a  trial  practice  course 

at  Northwestern  University  School  of  Law  in  January  of  199A  as  an  Adjunct  Professor. 
My  teaching  responsibilities  will  be  completed  in  June  of  1994. 


IX.    CERTIFICATION. 

In  compliance  with  the  provisions  of  28  U.S.C.  §  455  and  of  Advisory  Opinion  No.  57  of  the  Advisory  Comminee  on 
Judicial  Aaivities,  and  to  the  best  of  my  knowledge  at  the  time  after  reasonable  inquiry,  I  did  not  perform  any  adjudicaioiy 
funnion  in  any  litigation  during  the  period  covered  by  this  repon  in  which  I,  my  spouse,  or  my  minor  or  dependent  children 
had  a  financial  interest,  as  defined  in  Canon  3C(3)(c),  in  the  outcome  of  such  litigation. 

I  cenify  that  all  information  given  above  (including  information  pertaining  to  my  spouse  and  minor  or  dependent  children, 
if  any)  is  accurate,  true,  and  complete  to  the  best  of  my  knowledge  and  belief,  and  that  any  infonnaiioo  not  reported  was 
withheld  because  it  met  applicable  statutory  provisions  permitting  non-disclosure 

I  further  certify  that  earned  income  from  outside  employment  and  honoraria  and  the  acceptance  of  gifts  which  have  been 
reported  are  in  compliance  with  the  provisions  of  5  U.S.C.A.  app  7,  §  501  et.  seq.,  5  U.S.C  §  7353  and  Judicial  ConfercDoe 
regulations. 


Signature      A^Z^-^     (  (f-^-Z^/fi^^ Due      J>.  '  /-  ^y 


NOTE:     ANY  INDIVIDUAL  WHO  KNOWINGLY  AND  WILFULLY  FALSIFIES  OR  FAILS  TO  FILE  THIS  REPORT 
MAY  BE  SUBJECT  TO  CIVIL  AND  CRIMINAL  SANCTIONS  (5  U.S.CA.  APP.  6,  {  104,  AND  18  MS.C  fi  1001.) 


FILING  INSTRUCTIONS: 

Man  signed  original  and  3  additional  copies  to:  Judicial  Ethics  Comminee 

Administrative  Office  of  the 

United  Suies  Courts 
Washington,  DC   20544 


103 


ATTACHMENT  FOUR 
RNANOAL  STATEMENT 


NET  WORTH 


RUBEN  CASTILLO 


Provide  I  complete,  current  n/iinclal  net  worth  suumeni  which  iterruui  In  deuJ 
tU  usru  (Including  \>kr±  acc«unu,  rul  estate,  securities,  trusu,  investmenu,  u^d  other  fin^c-Ul 
ho1di/igs)  all  liabUidei  (Including  debts,  mortgiges,  loins,  ud  other  fininclil  obligationt)  of 
yoiirvel/,  your  spouse,  and  other  l/runediit*  members  of  youx  household. 


ASSETS 

UAiiLrnz4 

Cuh  en  hu\i  iiil  ir  buiij 

V, 

(X^ 

NoLu  fM/»b;<  IS  b*nij-Mair«d 

U.S.  Covtmsfnt  fcunia-tid 

Holu  f  lytklc  le  itfia-tinitevU 

Lined  KOilitici-tdi  Khidull 

NoUi  pt/tblj  le  r«:ui«« 

UrUJlttd  »«ci»ii:ci--»i4  Kbtdjit 

Noui  piytbk  i«  eikui 

Acxounli  Lftd  relet  rtocivible; 

AceounU  ind  billi  du« 

1^, 

fd 

Dvj«  frvm  r«!itirti  &rd  fricndj 

Un; lid  {nconv*  lu 

CS;«  from  olhe/l 

OlSt/  iifiptid  lu  ind  irUrtil 

Doubtful 

Ret]  tiUK  n,(r-4nu  piytb.'c-aSd 

»chtda].  -Pt-.^Scv.-n.  (i-S.OrA^f 

IW, 

000 

Kc*)  C4U1C  ownc4-t4d  >ch«^U 

:j^o. 

6(X} 

Ctiud  owrimci  and  ot>i*r  li«iu  pty. 
tbU 

XtA)  <iuK  wor^tnti  ttct'iMttU 

Olhef  d£b(j-i'.«(iuu-- 

Auloc  ifid  etfitr  jKnaoC  froperly 

1^', 

COL 

Cuh  viJje-L/«  i/Mu;4rc« 

'Z, 

ODO 

Oihtr  »Aj;b-r.«nui«: 

StTt^e   (^ollc-sc      ftovJi^ 

2.0 

COO 

.     : 

Te-(\   Acco^.-.r^ 

2^, 

<23d 

" 

ToUJ  UtklliiiM 

IJQ 

(YT, 

~ 

Net  Wottt 

153, 

~ 

Tout  A.u<u 

^^^,. 

0(?0 

Tou]  L'tbiliiSu  ml  net  ««rlk 

V» 

rvj^ 

^^ 

CO.vnNCENT  UABnJTIES 

None 

GENERAL  INFOJLMATION 

■* 

Aj  toiottu,  fcomiier  or  gviuuilor 

Are  4ny  uk'j  plaSjed?  (Add  Khed- 
uk.) 

MO 

Od  Ituct  or  oontracli 

Aft  you  defeodtnl  ir.  tr.y  luiu  or  lc|t] 
tfb'oiuT 

(OO 

Vtfi  Otlmt 

Hiv«  yw  CM  uitB  btftbvpiey? 

MO 

■* 

Proviiion  for  FedenJ  IrKomt  T« 

■• 

Otfxr  ipuU]  debt 

y 

p^ 

===»= 

; 

6^jL^ 


^'^^-^^3 


Persona]  residence  mortgage  is  held  by  Oak  Trust 
Savings  Bank  (Chicago,  Illinois) 


NOMINATIONS  OF  CARL  E.  STEWART,  TO  BE 
U.S.  CIRCUIT  JUDGE;  JAMES  CARR,  CLAR- 
ENCE COOPER,  FRANK  M.  HULL,  MARY  M. 
LISI,  AND  W.  LOUIS  SANDS,  TO  BE  U.S.  DIS- 
TRICT JUDGES 


THURSDAY,  APRIL  21,  1994 

U.S.  Senate, 
Committee  on  the  Judiciary, 

Washington,  DC. 

The  committee  met,  pursuant  to  notice,  at  2:38  p.m.,  in  room 
SD-106,  Dirksen  Senate  Office  Building,  Hon.  Herbert  Kohl  presid- 
ing. 

Also  present:  Senators  Metzenbaum  and  Thurmond. 

OPENING  STATEMENT  OF  SENATOR  KOHL 

Senator  Kohl.  This  hearing  will  come  to  order.  This  afternoon, 
the  Judiciary  Committee  will  conduct  a  hearing  on  the  following  ju- 
dicial nominees:  Judge  Carl  Stewart  to  be  Circuit  Court  Judge  for 
the  Fifth  Circuit  Court  of  Appeals;  Judge  James  Carr  to  be  District 
Court  Judge  for  the  Northern  District  of  Ohio;  Judge  Clarence  Coo- 
per to  be  District  Court  Judge  for  the  Northern  District  of  Georgia; 
Judge  Frank  Hull  to  be  District  Court  Judge  for  the  Northern  Dis- 
trict of  Georgia;  Mary  Lisi  to  be  District  Court  Judge  for  the  Dis- 
trict of  Rhode  Island;  and  Judge  Louis  Sands  to  be  District  Court 
Judge  for  the  Middle  District  of  Georgia. 

As  is  customary,  we  will  hear  first  from  Senators  and  Represent- 
atives who  wish  to  introduce  nominees  to  the  committee,  but  before 
we  turn  to  them  let  me  state  for  the  record  that  each  nominee  has 
completed  a  detailed  questionnaire  on  his  or  her  qualifications,  ex- 
perience, finances  and  philosophy.  The  portions  of  the  question- 
naire available  to  the  public  will  be  printed  in  the  record  of  this 
hearing. 

I  understand  that  we  have  received  a  letter  concerning  the  nomi- 
nation of  Mary  Lisi  from  Stephen  Fortunato,  so  we  will  make  that 
part  of  the  record. 

[The  letter  referred  to  follows:] 


(105) 


106 

The  Law  Firm  of 

FORTUNATO  &  TaRRO, 
Warwick,  RI,  March  15,  1994. 

Hon.  Joseph  Biden, 
U.S.  Senate, 
Washington,  DC. 

Dear  Senator  Biden:  On  March  14,  1994,  I  received  a  call  from  Cathy  Poston, 
Esq.,  Chief  Nominations  Counsel,  who  indicated  that  I  should  direct  a  letter  to  you 
in  light  of  your  poUcy  of  generally  not  having  live  testimony  on  nominations  to  the 
Federal  Bench. 

I  am  opposed  to  the  nomination  of  Mary  Lisi  to  the  United  States  District  Court 
for  the  District  of  Rhode  Island  because  she  has  absolutely  no  experience  as  a  trial 
lawyer.  Based  upon  my  own  frequent  practice  in  the  United  States  District  Court 
over  the  past  twenty-three  (23)  years,  as  well  as  discussions  about  the  matter  with 
professional  colleagues,  I  believe  I  can  safely  state  that  Mary  Lisi  has  not  handled 
any  matters  in  the  United  States  District  Court.  It  also  appears  that  she  has  never 
been  involved  as  counsel  in  a  jury  trial — or  in  any  significant  non-jury  matters  in 
any  court  for  that  matter. 

I  believe  she  has  had  some  experience  as  a  court-appointed  advocate  for  children 
in  Family  Court  matters,  but  this  role  bespeaks  more  of  social  work  rather  than  a 
trial  attorneys  position.  As  you  are  aware,  proceedings  involving  juveniles  are  in  no 
way  as  formal  and  rigorous  as  matters  that  come  before  a  federal  trial  court. 

At  the  present  time,  Ms.  Lisi  is  Chief  Counsel  for  the  Supreme  Court,  handling 
disciphnary  matters  involving  complaints  against  attorneys.  Again,  the  forum  is  in 
no  way  a  formal  one  regarding  procedures  and  matters  of  evidence. 

In  short,  Mary  Lisi  has  no  meaningful  trial  experience  whatsoever,  and  she  has 
not  gained  experience  elsewhere  to  equip  her  for  the  federal  trial  coxirt.  Frankly, 
other  than  trial  experience,  I  do  not  see  how  anyone  can  become  qualified  to  sit  as 
a  United  States  District  Court  judge.  This,  in  my  opinion,  is  somewhat  different 
from  a  nominee  for  an  appellate  position,  where  a  distinguished  career  of  teaching 
and  scholarship  could  qualify  one  for  the  United  States  Court  of  Appeals  or  even 
the  Supreme  Court  of  the  United  States. 

I  understand  from  Ms.  Poston  that  this  letter  will  be  circvdated  to  other  members 
of  the  Committee,  and  for  this  I  am  grateful. 

It  is  my  hope  that  members  of  the  Committee  will  raise  this  question  directly  in 
its  inquiry  of  Ms.  Lisi  and  in  its  deUberations.  The  people  of  Rhode  Island  who  seek 
relief  in  the  Federal  Cotirts — or  who  must  defend  themselves  against  claims  in  that 
forum — deserve  to  have  their  matters  adjudicated  by  someone  who  has  significant 
experience  with  the  Federal  Rules  of  Evidence  and  Procedure  as  well  as  at  least 
some  of  the  important  and  complex  statutes  that  are  regularly  disputed  in  the  Fed- 
eral Courts. 

I  thank  you  for  your  attention  to  this. 
Very  truly  yours, 

Stephen  J.  Fortunato,  Jr. 

P.S.  I  should  add  that  when  this  position  became  available,  it  was  the  consensus 
of  the  legal  community  and  the  public  at  large  that  it  would  be  fitting  for  a  woman 
to  be  appointed  because  no  woman  has  previously  served  on  this  Court  in  Rhode 
Island.  I  can  assure  you  that  in  Rhode  Island  there  are  a  number  of  qualified 
women,  many  of  whom  have  distinguished  records  as  federal  litigators  and  some  of 
whom  are  presently  sitting  members  of  the  Rhode  Island  judiciary. 

Senator  KOHL.  We  will  keep  the  record  open  for  a  limited  time 
for  any  other  submissions  to  the  committee  and  in  case  members 
of  the  committee  would  like  to  submit  written  questions.  Of  course, 
we  will  place  in  the  record  the  full  introductory  statements  of  home 
State  Senators. 

We  have  a  number  of  very  distinguished  Senators  with  us  today, 
and  so  we  are  going  to  begin  with  them.  Before  we  do,  though,  let 
me  make  one  point.  We  have  six  nominees,  but  not  too  much  time 
this  afternoon,  and  so  we  need  to  complete  the  hearing  today  in 
order  to  go  to  markup  next  week.  Therefore,  to  the  extent  that  in- 
troductions can  be  somewhat  abbreviated,  it  would  be  appreciated 
by  everybody. 


107 

First,  on  behalf  of  Ms.  Lisi,  we  have  Senator  Chafee  and  Senator 
Claiborne  Pell  here  today,  and  we  will  have  that  introduction  first. 
Senator  Pell. 

STATEMENT  OF  HON.  CLAIBORNE  PELL,  A  U.S.  SENATOR 
FROM  THE  STATE  OF  RHODE  ISLAND 

Senator  Pell.  Thank  you  very  much,  indeed.  Senator  Kohl. 
Members  of  the  committee,  it  is  with  very  real  pleasure  that  I  am 
here  to  introduce  to  you  Mary  Lisi  of  my  State  of  Rhode  Island  for 
the  position  of  district  court  judge. 

I  am  very  pleased  by  this  nomination  and  proud  to  be  part  of  it. 
I  am  confident  that  following  your  review  of  her  qualifications,  you 
will  agree  that  President  Clinton  made  a  wise,  appropriate  choice 
for  the  vacancy  on  the  Federal  bench  in  my  State. 

I  recommended  Mary  Lisi  to  President  Clinton  because  I  consid- 
ered her  a  person  of  exemplary  talent,  sterling  character,  and  very 
real  compassion,  whose  legal  career  has  been  distinguished  by  high 
professional  competence  and  by  her  most  judicial  temperament  and 
demeanor. 

Mary  Lisi  is  a  native  Rhode  Islander.  She  received  her  under- 
graduate degree  from  the  University  of  Rhode  Island,  her  law  de- 
gree from  Temple.  In  her  legal  career,  she  has  served  in  private 
practice,  as  a  public  defender,  and  as  a  court-appointed  special  ad- 
vocate for  children  and  juveniles  in  our  State's  juvenile  system. 

In  recommending  Mary  Lisi  to  President  Clinton,  I  realized  that 
her  distinguished,  accomplished  legal  career  was  quite  different  in 
character  from  those  of  many  other  nominees,  but  I  believe  strong- 
ly that  her  experiences,  though  different  from  the  traditional,  were 
equally  as  important  and  would  bring  to  the  bench  a  diversity  of 
background.  In  short,  I  believe  strongly  that  Mary  Lisi  has  the  nec- 
essary skills,  knowledge,  and  temperament. 

I  would  also  note  that  this  is  an  historic  day  for  the  Federal  judi- 
ciary in  my  State.  If  confirmed,  Mary  Lisi  will  become  the  first 
woman  to  become  a  Federal  judge  in  Rhode  Island.  It  is  hard  to 
believe  it  has  taken  over  200  years  for  us  to  come  to  this  point,  but 
I  am  glad  we  finally  have. 

As  we  achieve  greater  diversity  in  the  makeup  in  our  Federal  ju- 
diciary, it  is  imperative  that  we  not  sacrifice  the  integrity  and  qual- 
ity of  our  court  system,  and  that  is  why  I  am  so  proud  of  this  nomi- 
nation, which  will  add  a  great  deal  to  the  Federal  bench. 

I  thank  you  for  this  opportunity,  Senator  Kohl. 

Senator  Kohl.  Thank  you,  Senator  Pell. 

Senator  Chafee. 

STATEMENT  OF  HON.  JOHN  CHAFEE,  A  U.S.  SENATOR  FROM 
THE  STATE  OF  RHODE  ISLAND 

Senator  Chafee,  Thank  you  very  much,  Mr.  Chairman.  First,  I 
am  delighted  to  join  with  Senator  Pell  in  welcoming  Ms.  Lisi  to  the 
Hill  and  introducing  her  to  this  committee. 

In  our  State,  Mr.  Chairman,  we  take  great  pride  in  the  Rhode 
Island  members  of  the  Federal  judiciary.  At  the  district  court  level, 
we  have  Judges  Laqueux  and  Torres  and  retired  Judges  Pettine 
and  Boyle.  Judge  Selya  serves  with  distinction  on  the  first  circuit. 


108 

and  each  of  these  judges  are  truly  outstanding  individuals  and 
have  served  our  Nation  extremely  well. 

I  am  confident  that  Mary  Lisi  will  bring  added  luster  to  this  no- 
table group,  and  I  am  very  pleased  to  recommend  her  to  you  for 
the  position  of  U.S.  district  judge  for  Rhode  Island.  She  has  got  an 
impressive  resume  that  details  a  career  devoted  to  public  service. 
She  spent  the  greater  part  of  the  1980's  working  in  the  courts  to 
protect  the  rights  and  well-being  of  abused  or  neglected  children  in 
our  State. 

Since  1988,  she  has  worked  to  ensure  the  integrity  of  our  court 
system  by  serving  on  the  Supreme  Court  Disciplinary  Board.  I  also 
would  note  that  in  the  last  2  years,  Mary  Lisi  gave  of  her  time  by 
serving  on  a  very  important  commission  we  had  to  investigate  the 
failure  of  some  of  our  credit  unions,  and  this  was  an  extremely  dif- 
ficult job  that  took  untold  number  of  hours  and  she  carried  herself 
off  with  great  distinction. 

So,  in  sum,  Mr.  Chairman,  the  committee  has  before  it  this  nomi- 
nee whose  professional  life  has  truly  been  dedicated  to  serving  our 
community  and  the  interests  of  justice  and  fairness.  So  it  is  with 
enthusiasm  that  I  recommend  her  to  you,  Mr.  Chairman. 

Senator  KOHL.  Thank  you  very  much,  Senator  Chafee  and  Sen- 
ator Pell. 

Ms.  Lisi,  we  will  come  back  to  you  in  a  few  minutes. 

We  have  three  nominees  from  the  State  of  Georgia.  They  are  rep- 
resented here  today  by  Senator  Nunn  and  Senator  Coverdell,  and 
I  don't  know  if  Congressman  Lewis  here.  We  will  take  those  nomi- 
nees, Senator  Nunn,  as  you  wish  for  their  introductions.  We  have 
three  nominees.  How  would  you  like  to  introduce  them  today? 

STATEMENT  OF  HON.  SAM  NUNN,  A  U.S.  SENATOR  FROM  THE 

STATE  OF  GEORGIA 

Senator  Nunn.  Thank  you  very  much,  Mr.  Chairman.  On  behalf 
of  Senator  Coverdell  and  myseLf — and  he  will  add  whatever  re- 
marks he  would  like  to  make,  but  I  believe  I  am  speaking  on  behalf 
of  both  of  us  because  we  have  discussed  this — it  is  my  honor  and 
pleasure  to  introduce  to  the  committee  today  three  of  President 
Clinton's  nominees  to  the  Federal  district  court  seats  in  the  State 
of  Georgia. 

All  of  them  are  judges,  outstanding  judges:  Judge  Clarence  Coo- 
per, Judge  Frank  Hull,  and  Judge  Louis  Sands.  They  already  have 
made  £in  outstanding  record  on  the  bench  and,  of  course,  we  are 
very  proud  of  the  diversity  they  represent,  but  I  can  assure  the 
members  of  this  committee  that  they  were  selected  because  they 
are  outstanding  individuals,  and  I  believe  will  make  outstanding 
Federal  judges.  I  am  just  going  to  say  a  few  words  about  each  of 
them. 

Judge  Cooper  currently  serves  on  the  Georgia  Court  of  Appeals. 
He  was  appointed  by  Gov.  Joe  Frank  Harris  to  that  position  in 
1990.  He  was  returned  by  the  voters  of  Georgia  to  that  position  in 
1992.  Prior  to  joining  the  court  of  appeals,  Judge  Cooper  was  on 
the  Fulton  County  Superior  Court  and  on  the  Atlanta  Municipal 
Court,  so  he  has  had  very  significant  judicial  experience.  He  also 
served  as  assistant  district  attorney  in  Atlanta. 


109 

Judge  Cooper  has  distinguished  himself  in  his  military  service 
and  his  education.  From  1968  to  1970,  Judge  Cooper  served  in  the 
U.S.  Army  and  received  a  Bronze  Star  for  his  tour  of  duty  in  Viet- 
nam. He  is  a  graduate  of  Clark  College,  the  John  F.  Kennedy 
School  of  Grovernment,  and  the  Massachusetts  Institute  of  Tech- 
nology Community  Fellows  Program.  After  beginning  his  legal  edu- 
cation at  Howard  University  School  of  Law  in  1964,  Judge  Cooper 
transferred  to  Emory  University  in  Atlanta,  and  as  an  Emory  grad- 
uate myself,  I  am  very  proud  to  say,  that  he  graduated  from  Emory 
with  a  juris  doctor  degree  in  1967. 

Judge  Frank  Hull  was  appointed  to  the  Atlanta  Judicial  Circuit 
in  1990.  Judge  Hull  was  returned  by  the  voters  in  1992.  Before 
joining  the  superior  court,  Judge  Hull  served  6  years  on  the  Fulton 
County  State  Court.  She  has  had  an  outstanding  record  in  both  of 
those  positions. 

Judge  Hull  is  a  graduate  of  Randolph-Macon  Women's  College 
and  a  cum  laude  graduate  of  Emory  University  Law  School.  In 
1973,  Judge  Hull  served  a  clerkship  with  Judge  Elbert  Tuttle,  then 
judge  of  the  fifth  circuit  court  of  appeals.  From  1974  to  1984,  she 
worked  for  the  firm  of  Powell,  Goldstein,  Frazer  &  Murphy  as  a 
trial  attorney  handling  a  broad  range  of  cases  in  the  Federal  and 
State  courts. 

Judge  Hull  is  a  longtime  participant  in  a  large  number  of  legal 
and  civic  concerns.  She  has  been  very  active  in  the  Atlanta  project, 
an  effort  by  former  President  Carter  to  address  in  a  comprehensive 
manner  the  problems  of  crime,  health,  and  education  that  are 
found  in  the  Atlanta  area,  and  indeed  in  most  of  the  cities  of  our 
country.  She  has  done  a  tremendous  amount  of  work  in  counseling, 
job  placement,  drug  and  alcohol  rehabilitation,  and  other  endeavors 
so  important  in  the  whole  judicial  system. 

Judge  Louis  Sands  currently  sits  on  the  superior  court  of  the 
Macon  judicial  circuit,  a  position  to  which  he  was  appointed  by 
Gov.  Zell  Miller  in  1991.  Between  1975  and  1987,  Judge  Sands  was 
an  assistant  district  attorney  for  the  Macon  circuit  and  an  assist- 
ant U.S.  attorney  for  the  Middle  District  of  Georgia.  He  was  the 
senior  assistant  U.S.  attorney  in  the  middle  district  for  8  years. 

During  his  tenure  in  the  U.S.  attorney's  office  and  the  district  at- 
torney's office.  Judge  Sands  developed  a  strong  record  in  handling 
complex  criminal  and  civil  cases.  He  has  a  background  in  child  sup- 
port enforcement  and  has  served  on  several  State  task  forces  deal- 
ing with  family  violence,  gender  equality,  and  substance  abuse. 
Judge  Sands  spends  much  of  his  spare  time  working  with  our 
young  people  in  Georgia.  In  fact,  Mr.  Chairman,  these  are  all  peo- 
ple of  diff'erent  backgrounds,  but  they  have  a  common  denominator, 
and  that  is  their  dedication  to  the  young  people  and  to  the  family 
and  their  concern  about  family  breakup  in  our  State  and  in  our  Na- 
tion. 

Judge  Sands  is  a  graduate  of  Mercer  University  and  the  Mercer 
University  Walter  F.  George  School  of  Law.  He  is  an  active  mem- 
ber of  the  Macon  community,  helping  to  lead  the  Adopt-a-Role 
Model  Program  that  matches  local  professionals  with  high-school- 
age  children  in  mentoring  relationships.  He  is  also  very  active  in 
the  Stewart  Chapel  African  Methodist  Episcopal  Church.  When 
Judge  Sands  is  approved  by  this  committee  and  the  Senate,  I  be- 


110 

lieve  he  will  be  an  asset  to  the  Federal  bench,  just  as  he  has  been 
at  the  State  level. 

All  of  these  are  outstanding  individuals,  Mr.  Chairman  and  Sen- 
ator Thurmond.  I  interviewed  these  people  extensively  and  the  oth- 
ers who  were  contenders  for  these  jobs.  We  had  an  unusual  number 
of  well  qualified  applicants.  These  people  were  outstanding,  and  I 
think  they  will  do  an  excellent  job  for  our  State  and  Nation.  I  com- 
mend them  to  you.  Senator  Thurmond,  the  committee,  and  to  the 
Senate. 

Senator  KoHL.  We  thank  you,  Senator  Nunn, 

Senator  Coverdell. 

STATEMENT  OF  HON.  PAUL  COVERDELL,  A  U.S.  SENATOR 
FROM  THE  STATE  OF  GEORGIA 

Senator  CovERDELL.  Mr.  Chairman,  I  want  to  echo  the  remarks 
given  by  Senator  Nunn,  and  also  publicly  thank  him  for  the  co- 
operation extended  to  our  office  in  the  process  by  which  he  meas- 
ured the  applicants  for  these  high  posts. 

All  of  these  individuals  are  distinguished  citizens  of  our  State. 
They  have  demonstrated  academic  proficiencies.  They  have  dem- 
onstrated a  community  spirit  so  necessary  in  the  work  for  which 
they  will  soon  be  challenged.  They  have  professionally  impeccable 
records.  The  President  has  selected,  along  with  Senator  Nunn  and 
his  office,  three  very  distinguished  Georgians  very  suitable  to  serve 
their  Nation  and  this  President. 

Senator  KoHL.  Thank  you  very  much. 

Senator  Nunn.  Mr.  Chairman,  I  see  that  Congressman  John 
Lewis  is  here.  I  am  very  proud  that  he  could  join  us  today.  I  know 
he  knows  these  individuals  very  well. 

Senator  KoHL.  Very  good.  Thank  you.  Senator  Nunn  and  Senator 
Coverdell. 

Representative  Lewis. 

STATEMENT  OF  HON.  JOHN  LEWIS,  A  REPRESENTATIVE  IN 
CONGRESS  FROM  THE  STATE  OF  GEORGIA 

Representative  Lewis.  Thank  you  very  much,  Mr.  Chairman, 
Senator  Thurmond.  I  am  very  pleased  to  be  here  to  join  with  Sen- 
ator Nunn  and  Senator  Coverdell  in  introducing  Judges  Hull,  Coo- 
per, and  Sands  to  you. 

This  is  indeed  a  very  special  occasion  for  the  people  in  the  State 
of  Georgia  and  for  our  Nation.  The  nomination  of  these  three 
judges  to  the  Federal  bench  tends  to  demonstrate  the  distance  we 
have  come  as  a  nation  and  as  a  people.  It  reflects  this  administra- 
tion's and  your  commitment  to  diversity  on  the  Federal  bench.  It 
also  reflects  this  administration's  and  your  commitment  to  the 
highest  quality  Federal  judiciary. 

Judge  Hull,  Judge  Cooper,  and  Judge  Sands  are  all  held  in  ex- 
treme high  regard  for  their  excellent  judicial  temperament,  fair- 
ness, and  hard  work.  All  three  are  highly  respected  by  their  peers 
in  the  State  of  Georgia. 

There  is  a  lot  I  could  say  about  Judge  Frank  Mays  Hull,  about 
how  she  graduated  cum  laude  from  Emory  University  Law  School 
and  about  how  she  was  one  of  the  first  women  appointed  to  the 


Ill 

Fulton  County  State  Court,  twice  reelected  to  the  court,  and  then 
elevated  to  the  Fulton  County  Superior  Court  in  1990. 

But  as  Senator  Nunn  stated  so  well,  what  I  most  want  to  say  is 
that  Judge  Frank  Hull  was  Elbert  Tuttle's  law  clerk.  Judge  Tuttle 
is  97  years  old  now.  He  served  38  years  on  the  U.S.  Court  of  Ap- 
peals for  the  Fifth  and  Eleventh  Circuits.  We  all  know  Judge 
Tuttle.  Judge  Tuttle's  fairness  and  firmness  and  his  fair  and  firm 
leadership  as  chief  judge  of  the  Federal  appeals  court  of  the  South 
helped  to  change  the  face  of  the  South.  Judge  Frank  Hull  learned 
from  Judge  Tuttle.  She  was  part  of  his  team. 

Judge  Clarence  Cooper  is  currently  a  member  of  the  Georgia 
Court  of  Appeals.  He  was  appointed  to  that  position  in  1990  and 
just  a  few  months  later  won  a  statewide  election  to  that  position. 
Judge  Cooper's  career  in  the  law  has  been  long  and  impressive. 
Upon  graduation  from  Clark  College,  Judge  Cooper  entered  How- 
ard University  School  of  Law.  After  1  year,  he  came  home  to  At- 
lanta to  study  at  Emory  University  Law  School.  He  graduated  from 
the  Emory  University  School  of  Law  in  1967. 

In  1967,  after  serving  as  Fulton  Count^s  first  black  assistant 
district  attorney,  Clarence  Cooper  was  appointed  to  the  Atlanta 
Municipal  Court.  He  took  a  leave  from  the  court  in  1976  to  pursue 
his  master's  in  public  administration  at  Harvard  University.  In 
1980,  Judge  Cooper  was  elected  to  the  Fulton  County  Superior 
Court.  While  there,  he  presided  over  the  very  high-profile  missing 
and  murdered  children  case.  On  a  personal  note,  let  me  say  that 
I  know  Judge  Clarence  Cooper,  and  I  know  him  very  well.  We  are 
fortunate  to  have  someone  of  his  caliber  with  his  commitment  and 
dedication  to  public  service. 

Now,  let  us  look  at  Judge  W.  Louis  Sands.  He  is  from  what  we 
call  middle  Georgia — I  guess  Senator  Nunn's  home  area,  Macon, 
GA.  I  don't  know  him  as  well  as  I  do  the  others,  but  I  know  his 
reputation  and  his  excellent  reputation  for  hard  work  and  a  very 
high  standard  of  ethics. 

Judge  Sands  went  to  Mercer  University  and  the  Walter  F. 
George  School  of  Law.  While  in  law  school,  he  worked  as  chief  legal 
assistant  to  the  district  attorney,  and  while  in  law  school  Louis 
Sands  served  in  the  Army  Reserve.  He  resigned  from  the  reserves 
in  1978  at  the  rank  of  captain. 

Following  graduation  from  law  school,  Louis  Sands  spent  3  years 
as  assistant  district  attorney.  In  1978,  he  was  appointed  assistant 
U.S.  attorney  for  the  Middle  District  of  Georgia.  In  1987,  he  formed 
his  own  firm,  Mathis,  Sands,  Jordan  &  Adams,  operating  two  of- 
fices, one  in  Millersville  and  the  other  one  in  Macon. 

Judge  Sands  brings  to  the  Federal  bench  the  very  valuable  per- 
spective of  a  person  that  has  spent  long  hours  on  the  other  side  of 
the  bench,  both  as  a  Federal  and  State  prosecutor  and  as  a  private 
lawyer  with  a  very  diverse  litigation  practice.  Mr.  Chairman  and 
Senator  Thurmond,  I  am  pleased  and  proud  to  see  him  before  you 
today  for  your  confirmation  of  his  nomination  to  the  Federal  dis- 
trict court. 

I  cannot  emphasize  how  lucky  and  how  blessed  we  are  to  have 
these  three  outstanding  Georgians.  Their  elevation  to  the  Federal 
court  is  good  news  for  Georgia  and  it  is  good  news  for  America. 

Thank  you,  Mr,  Chairman.  Thank  you.  Senator  Thurmond. 


112 

Senator  KOHL.  We  thank  you,  Representative  Lewis,  and  Senator 
Nunn,  Senator  Coverdell.  We  will  get  back  to  your  nominees  in  due 
time.  Thank  you  very  much. 

We  have  now  James  Carr  from  Ohio,  to  be  introduced  by  the 
Senators  from  Ohio,  Senator  Glenn  and  Senator  Metzenbaum. 

Senator  Glenn. 

STATEMENT  OF  HON.  JOHN  GLENN,  A  U.S.  SENATOR  FROM 

THE  STATE  OF  OHIO 

Senator  Glenn.  Thank  you  Mr.  Chairman  and  Senator  Thur- 
mond. Mr.  Chairman  and  members  of  the  committee,  it  is  truly  a 
privilege  to  be  here  today  to  introduce  to  you  Magistrate  James 
Carr.  I  want  to  welcome  Magistrate  Carr's  family — his  wife,  Eileen; 
his  daughters,  Maureen,  Megan,  Darrah,  and  Caitlin;  as  well  as  his 
brother  Tom.  And  his  father,  Edmund,  flew  in  from  Michigan  to  be 
here  today. 

This  is  a  day  we  have  been  looking  forward  to  for  a  very  long 
time,  but  I  think  there  is  only  one  person  who  has  been  looking  for- 
ward to  this  day  more  than  Jim,  and  that  is  Judge  Potter  back  in 
Toledo,  who  took  senior  status  in  August  1992,  but  has  been  faith- 
fully coming  in  every  day  with  a  full  caseload  waiting  for  a  new 
judge  to  be  appointed.  Finally,  that  day  has  come  and  I  can't  think 
of  a  more  qualified  person  than  Magistrate  Carr  to  take  the  job. 

Jim  Carr  has  literally  been  in  difect  training  to  be  a  Federal 
judge  since  1979  when  he  was  named  a  Federal  magistrate  in  To- 
ledo. Prior  to  that  time,  Jim  enjoyed  a  distinguished  and  diverse 
legal  career  in  private  practice,  as  a  prosecutor,  as  a  legal  aid  law- 
yer, and  as  a  professor  of  law.  He  has  published  extensively,  and 
not  only  in  English.  In  fact.  Magistrate  Carr  has  published  more 
German  law  review  articles  than  most  German  lawyers  could  ever 
hope  to  publish.  I  think  this  provides  sufficient  evidence  that  he  is 
a  real  student  of  the  law  on  a  wide,  wide  scale. 

I  could  go  on  and  on,  but  I  am  not  the  one  you  want  to  hear  from 
today.  Just  let  me  add  that  Magistrate  Carr  is  exactly  the  kind  of 
individual  we  need  on  the  Federal  bench.  I  believe  he  has  the  per- 
fect blend  of  skills  and  experience  to  take  on  what  is  truly  an  awe- 
some responsibility. 

So  I  respectfully  urge  the  committee  to  favorably  review  his  nom- 
ination. I  am  glad  to  give  Magistrate  Carr  my  highest  rec- 
ommendation; I  know  he  will  do  a  great  job. 

Thank  you,  Mr.  Chairman. 

Senator  KOHL.  We  thank  you,  Senator  Glenn. 

Senator  Metzenbaum. 

STATEMENT  OF  HON.  HOWARD  M.  METZENBAUM,  A  U.S. 
SENATOR  FROM  THE  STATE  OF  OHIO 

Senator  Metzenbaum.  Mr.  Chairman,  in  a  certain  way  this  is  an 
unusual  nomination  for  me,  and  I  think  maybe  for  John  Glenn  as 
well.  I  never  met  Magistrate  Carr  before  the  question  of  an  opening 
came  up.  I  never  heard  of  him.  I  never  knew  of  him  politically,  I 
never  knew  him  socially,  but  suddenly  there  converged  upon  us 
Senators  an  overwhelming  outpouring  of  support  for  this  man  who 
had  been  a  magistrate  for  15  years  and  many  people  said  was 


113 

doing  all  the  work  that  a  judge  should  and  could  be  doing,  and 
with  no  exception. 

His  reputation  is  impeccable.  The  lawyers  of  the  community  and 
the  people  of  the  community  all  say  that  Magistrate  Carr  is  truly 
the  person  for  the  position,  and  I  am  just  very  proud  to  be  sitting 
here  with  Senator  Glenn  and  urging  his  confirmation.  I  have  no 
doubt  in  my  mind  that  he  will  make  an  excellent  jurist. 

John  has  already  told  you  of  some  of  his  background,  some  of  his 
writings,  some  of  the  work  that  he  has  done  in  the  past.  I  can  only 
say  to  you  that  this  is  a  man  whom  I  am  sure  will  make  a  superb 
jurist  and  I  am  very  pleased  to  be  here  recommending  him  to  you. 

Senator  Kohl.  Well,  we  thank  you  very  much,  Senator  Metzen- 
baum  and  Senator  Glenn,  and  we  will  get  back  to  you.  Magistrate 
Carr. 

We  have  now  with  us  the  two  Senators  from  Louisiana,  Senator 
Johnston  and  Senator  Breaux.  We  appreciate  your  patience  in  in- 
troducing Carl  Stewart. 

STATEMENT  OF  HON.  J.  BENNETT  JOHNSTON,  A  U.S.  SENATOR 
FROM  THE  STATE  OF  LOUISIANA 

Senator  Johnston.  Mr.  Chairman  and  Senator  Thurmond,  it  is 
a  great  personal  pleasure  for  me  to  introduce  to  the  committee 
Judge  Carl  Stewart,  who  is  the  President's  nominee  to  be  judge  for 
the  U.S.  Fifth  Circuit  Court  of  Appeals. 

It  is  a  pleasure,  first,  because  Carl  Stewart  is  an  old  friend, 
along  with  his  family.  By  the  way,  I  would  like  to  introduce  his 
family.  His  wife  and  his  son  are  here,  if  you  would  stand  up.  His 
brother  is  here,  and  he  also  has  a  lot  of  friends  who  are  with  him 
for  this  historic  occasion. 

Second,  it  is  a  great  pleasure  because  he  is  highly  qualified. 
Third,  it  is  a  great  pleasure  because  he  is  the  first  African-Amer- 
ican ever  to  be  nominated  to  the  U.S.  Fifth  Circuit  Court  of  Ap- 
peals as  it  is  presently  structured. 

Mr.  Chairman,  there  is  a  great  deal  that  I  could  say,  and  I  have 
a  statement  which  I  would  like  to  put  in  the  record  which  details 
his  many,  many  qualifications.  I  would  only  like  to  make  one  point, 
and  that  is  that  he  has  been  an  elected  district  judge  and  court  of 
appeals  judge  in  a  predominately  white  city;  he  has  been  elected. 

The  Shreveport  Journal,  one  of  our  newspapers  there,  did  a  sur- 
vey of  judges  not  too  long  ago.  Let  me  tell  you  that  the  Shreveport 
Journal  stated  that  Judge  Stewart  "nearly  swept  the  ratings.  He 
was  a  splendid  judge,  excellent  in  every  respect,  has  been  praised 
for  his  judicial  economy  and  fine  judicial  manner."  I  think  that  ar- 
ticle in  the  Shreveport  Journal  says  it  all. 

It  is  with  a  great  deal  of  pride  that  I  recommend  to  you  Judge 
Carl  Stewart. 

[The  prepared  statement  of  Senator  Johnston  follows:] 

Prepared  Statement  of  Senator  J.  Bennett  Johnston 

Mr.  Chairman  and  members  of  the  committee.  I  am  very  pleased  to  appeeir  before 
the  committee  today  for  the  purpose  of  introducing  to  you  Carl  Edmond  Stewart  of 
Shreveport,  Louisiana,  nominee  to  the  United  States  Court  of  Appeals  for  the  Fifth 
Circuit. 

It  is  most  fitting  that  an  individual  of  Mr.  Stewart's  high  standards  and  eminent 
qualifications  be  nominated  for  this  very  important  position. 


114 

As  a  teenager  in  the  1960s,  Carl  Stewart  witnessed  the  civil  rights  struggle  of  the 
era  and  saw  how  the  legal  system  could  be  used  to  bring  about  positive  social 
change.  He  was  inspired  by  what  he  saw  and  decided  to  dedicate  his  life  to  helping 
people  through  the  legal  system. 

Carl  Stewart  comes  to  the  committee  with  impressive  credentials,  having  served 
since  1991  on  the  Second  Circuit  Court  of  Appeals  in  the  State  of  Louisiana.  Mr. 
Stewart  is  a  1974  graduate  of  the  Loyola  University  School  of  Law  in  New  Orleans. 

Mr.  Stewart  has  a  distinguished  career  in  law  and  public  service.  He  has  served 
as  a  district  judge  in  the  First  Judicial  District  Court,  Division  D,  for  the  State  of 
Louisiana,  in  addition  to  working  as  an  assistant  United  States  Attorney  for  the 
Western  District  of  Louisiana  and  a  special  assistant  to  the  District  Attorney  in 
Shreveport,  Louisiana. 

Among  the  professional  organizations  to  which  Mr.  Stewart  holds  membership  are 
the  American  Bar  Association  and  Judicial  Administration  Division;  the  National 
Bar  Association  and  Judicial  Council;  the  Louisiana  State  Bar  Association,  where 
he  is  a  member  of  the  bench  bar  liaison  committee;  the  Harry  V.  Booth  Chapter 
of  the  American  Inns  of  Court  in  Shreveport,  where  he  is  a  charter  member;  the 
Black  Lawyers  Association  of  Shreveport-Bossier;  and  the  Louisiana  Conference  of 
Court  of  Appeals  Judges. 

Mr.  Stewart  has  been  widely  praised  for  his  judicial  performance.  In  a  survey  of 
judges,  the  Shreveport  Journal  declared  that  he  "nearly  swe[pt]  the  ratings."  Mr. 
Stewart  has  been  described  as  "a  splendid  judge,  excellent  in  every  respect"  and  has 
been  praised  for  his  "judicial  economy"  and  "fine  judicial  manner,"  being  "careful  to 
treat  all  parties  with  the  same  attitude  and  concern." 

It  is  important  to  note  that  Judge  Stewart  has  also  served  with  distinction  in  a 
wide  variety  of  responsible  positions  outside  the  legal  profession.  He  has  been  very 
active  in  his  community  as  a  member  of  the  board  of  directors  for  the  Caddo-Bossier 
Community  Council,  the  Boys  Club  of  Shreveport-Bossier,  the  Hap  House 
MultidisabiUty  Work  Center,  GoodAvill  Industries  of  Northwest  Louisiana,  the  Salva- 
tion Army  Advisory  Board,  the  Northwest  Louisiana  Sickle  Cell  Anemia  Foundation, 
the  Northwest  Louisiana  Family  Crisis  Center,  the  Shreveport  Opera,  the  Shreve- 
port-Bossier Metropolitan  YMCA,  the  American  Red  Cross,  the  Northwest  Louisiana 
Biomedical  Research  Foundation,  and  the  Shreveport  Chamber  of  Commerce. 

Judge  Stewart  has  been  honored  with  awards  from  the  Boys  Scouts  of  America 
and  the  Carver  Branch  YMCA.  The  Louisiana  Chapter  of  the  Jaycees  named  him 
the  Louisiana  outstanding  black  man  of  the  year  and  he  received  the  black  man  of 
the  year  award  from  Southern  University's  Shreveport-Bossier  Afro-American  Soci- 
ety. 

Judge  Stewart  frequently  addresses  student  and  professional  groups,  emphasizing 
the  importance  of  educational  achievement  and  community  service  and  the  need  for 
African-American  role  models  in  business  and  public  service.  He  is  also  a  lay  leader 
of  the  Louisiana  United  Methodist  Conference. 

I  have  known  Carl  Stewart  for  several  years  and  have  found  him  to  be  profes- 
sional and  competent  as  a  lawyer  and  community  leader.  Moreover,  I  am  confident 
he  possesses  the  necessary  judicial  temperament  to  serve  on  the  United  States 
Court  of  Appeals  for  the  Fifth  Circuit. 

In  sum,  I  believe  that  Mr.  Stewart  possesses  the  integrity,  appropriate  demeanor 
and  aptitude  for  legal  scholarship  that  will  enable  him  to  serve  well  and  with  dis- 
tinction if  he  is  confirmed. 

Mr.  Chairman,  Carl  Edmond  Stewart  is  imminently  qualified  to  serve  as  a  judge 
to  the  United  States  Fifth  Circuit  Court  of  Appeals  and  I  strongly  urge  the  commit- 
tee act  favorably  on  his  nomination. 

Senator  KOHL.  Thank  you,  Senator  Johnston. 
Senator  Breaux. 

STATEMENT  OF  HON.  JOHN  B.  BREAUX,  A  U.S.  SENATOR  FROM 

THE  STATE  OF  LOUISIANA 

Senator  Breaux.  Thank  you  very  much,  Mr.  Chairman  and  Sen- 
ator Thurmond.  Thank  you  for  letting  our  delegation  appear  to  rec- 
ommend Judge  Carl  Stewart. 

I  think  our  colleague,  Bennett  Johnston,  was  right  on  target. 
This  is  a  very  historic  day.  I  mean.  Judge  Stewart  will  be  the  first 
African-American  to  be  appointed  to  the  fifth  circuit  court  of  ap- 
peals, as  it  is  presently  constituted,  and  you  all  know  what  an  his- 


115 

toric  circuit  that  has  been  in  the  area  of  human  rights  and  civil 
rights  for  all  Americans.  So  it  really  is  with  a  great  deal  of  pride 
that  we  are  able  to  present  Judge  Stewart. 

He  really  comes  as  a  person  who  is  not  here  just  because  of  his 
race.  He  is  here  because  of  the  great  background  as  a  professional 
jurist  that  he  brings  to  this  court.  He  has  a  degree  in  psychology, 
which  I  think  is  always  very  helpful  in  these  areas,  and  very  im- 
portant. This  man  has  served  as  a  captain  in  the  U.S.  Army  in  the 
Judge  Advocate  General's  Corps,  so  he  brings  a  degree  of  experi- 
ence about  the  Military  Code  of  Justice  which  I  think  is  also  very 
helpful. 

In  addition,  as  our  colleague,  Bennett  Johnston,  said,  I  really 
think  that  to  get  to  the  circuit  court,  experience  in  the  lower  courts 
is  very  important.  I  think  it  is  very  difficult  just  to  pick  up  someone 
who  is  a  practicing  attorney  and  make  them  a  circuit  court  judge 
because  they  haven't  had  that  experience  of  sitting  in  a  courtroom 
in  a  day-to-day  environment  and  hearing  people  who  are  real  peo- 
ple with  real  problems  come  before  them. 

Judge  Carl  Stewart  has  done  that.  As  I  said,  he  has  been  an 
elected  district  court  judge  in  Louisiana,  an  elected  court  of  appeals 
judge  in  Louisiana.  He  has  been  an  assistant  U.S.  attorney.  This 
man  has,  by  experience,  by  training,  by  background  and  education, 
the  credentials  to  make  the  type  of  judge  that  this  Congress  will 
be  very  impressed  with  and  all  of  America  can  be  very  proud  of. 
I  recommend  him  to  you. 

Senator  Kohl.  We  thank  you.  Senator  Breaux. 

We  also  have  two  Members  of  the  House  of  Representatives  here 
with  us.  Representative  William  Jefferson  and  Representative  Cleo 
Fields. 

Representative  Jefferson. 

STATEMENT  OF  HON.  WILLIAM  J.  JEFFERSON,  A  REPRESENT- 
ATIVE IN  CONGRESS  FROM  THE  STATE  OF  LOUISIANA 

Representative  Jefferson.  Thank  you,  Mr.  Chairman  and  mem- 
bers of  the  committee.  I  am  honored  and  pleased  to  be  here  today 
with  Senators  Johnston  and  Breaux,  and  with  my  House  colleague, 
Congressman  Fields,  in  presenting  Judge  Carl  Stewart  to  this  com- 
mittee. 

I  believe  that  Judge  Stewart  will  be  an  excellent  addition  to  the 
New  Orleans  Fifi;h  Circuit  Court  of  Appeals,  located  in  the  area 
that  I  represent,  and  I  applaud  our  Senators  and  President  Clinton 
for  his  nomination. 

As  the  Senators  have  said,  this  is  truly  a  historic  day  for  this 
committee,  for  the  people  of  Louisiana,  and  indeed  for  our  country. 
As  has  been  said,  when  confirmed.  Judge  Stewart  will  be  the  first 
African- American  to  ever  sit  on  the  fifth  circuit  court  of  appeals. 
The  fifth  circuit  has  been  in  the  forefront  of  many  areas  of  law, 
from  admiralty  law  to  contracts  law  to  constitutional  law  to  em- 
ployment law  and  natural  resource  law,  but  its  most  prominent  de- 
cisions have  been  in  the  area  of  civil  rights  law  advances  because, 
unfortunately,  the  Southern  States  over  which  the  fifth  circuit  has 
had  jurisdiction,  have  been  all  too  fertile  a  ground  for  the  fostering 
of  civil  rights  claims. 


116 

Judge  Stewart's  nomination  completes  the  circle  of  opportunity 
for  African-Americans,  from  being  shut  out  of  the  system  as  liti- 
gants to  having  rights  established  through  court  decisions  and  stat- 
utes to  bring  their  claims  and  now  to  have  Judge  Stewart  to  give 
this  area  of  the  law,  and  others,  meaning  borne  out  of  peculiar  ex- 
perience. 

The  fifth  circuit  court  of  appeals  has  always  had  a  long  list  of 
outstanding  jurists  to  serve  on  it.  Judge  Robert  Ainsworth;  Judge 
Elbert  Tuttle;  Judge  Robert  Brown;  Judge  Alvin  Rubin,  for  whom 
I  was  privileged  to  clerk;  and  Judge  Minor  Wisdom,  who  continues 
to  serve  as  a  senior  judge,  are  among  just  a  few  of  the  outstanding 
jurists  who  have  served  on  this  court.  Judge  Stewart  will  serve,  I 
believe,  in  this  grand  tradition. 

Mr.  Chairman,  Judge  Stewart  is  from  a  unique  family,  as  Sen- 
ator Johnston  has  said.  He  and  his  wife  are  the  proud  parents  of 
three  children,  and  he  has  two  brothers  who  are  also  judges — 
Judge  James  Stewart  of  the  Shreveport,  LA,  First  Judicial  District 
Court  and  Capt.  Richard  Stewart,  Jr.,  a  military  judge  with  the 
U.S.  Naval  Pacific  Fleet  in  San  Diego,  CA. 

From  the  beginning,  Judge  Stewart's  public  judicial  life  has  been 
marked  for  success.  He  has  been  singled  out  by  his  colleagues  as 
an  outstanding  district  court  judge,  and  on  the  court  of  appeals  he 
has  always  been  spoken  of  only  in  the  highest  terms  as  hard- 
working, knowledgeable,  decisive,  competent,  efficient,  and  fair. 
Yes,  Judge  Stewart  will  bring  diversity  to  the  court  of  appeals,  but 
he  will  ^so  bring  a  wealth  of  legal  experience  to  the  fifth  circuit. 

For  these  reasons,  I  strongly  urge  this  committee  to  recommend 
Judge  Carl  Stewart  to  the  full  Senate  for  confirmation  to  the  U.S. 
Court  of  Appeals  for  the  Fifth  Circuit.  Mr.  Chairman,  I  appreciate 
the  opportunity  to  appear  before  you  this  afternoon  and  I  thank  the 
committee  for  its  time. 

Senator  Kohl.  We  thank  you.  Congressman  Jefferson. 

Congressman  Fields. 

STATEMENT  OF  HON.  CLEO  FIELDS,  A  REPRESENTATIVE  IN 
CONGRESS  FROM  THE  STATE  OF  LOUISIANA 

Representative  Fields.  Thank  you,  Mr.  Chairman,  Senator  Thur- 
mond, and  my  colleagues  from  Louisiana.  It  is  a  pleasure  to  be 
here  to  speak  on  behalf  of  Judge  Stewart  who  lives  in  my  district 
and  for  whom  I  have  a  great  deal  of  respect.  But  one  of  the  dis- 
advantages I  have,  Mr.  Chairman,  is  whenever  you  come  last,  most 
of  the  things  that  you  wanted  to  say  have  already  been  said.  Let 
me  just  say  that  if  Judge  Stewart  was  before  the  court  today,  he 
would  simply  say,  after  these  three  statements,  "Your  Honors,  I 
rest  my  case." 

Judge  Stewart  graduated  from  Booker  T.  Washington  High 
School  with  honors  and  from  Dillard  University  in  Louisiana 
magna  cum  laude  in  1971,  Mr.  Chairman.  He  graduated  from  Loy- 
ola Law  School  in  1974.  He  practiced  military  law,  served  as  assist- 
ant attorney  general,  then  served  as  an  assistant  attorney  vvith  the 
district  attorney's  office  in  Louisiana.  He  practiced  extensively  in 
private  practice  as  well,  so  he  brings  a  vast  amount  of  experience 
to  the  bench.  He  was  elected  and  reelected  as  district  court  judge 
and  then  was  elected  to  Louisiana's  Second  Court  of  Appeals. 


117 

He  is  a  member  of  many  organizations,  not  only  in  the  State  of 
Louisiana,  but  throughout  this  entire  Nation.  He  was  a  past  board 
member  of  the  Shreveport  Chamber  of  Commerce,  and  also  a  board 
member  of  the  American  Red  Cross.  He  has  served  on  many  com- 
munity organization  boards.  I  think  the  most  unique  part  of  his 
credentials  is  his  hard  work  to  help  young  people  within  the 
Shreveport  community. 

Mr.  Chairman  and  Mr.  Thurmond,  Shreveport  is  a  community 
where  a  lot  of  our  young  people  turn  to  drugs  and  alcohol.  Judge 
Stewart  is  out  there  every  Saturday  working  with  young  people  to 
keep  them  from  turning  to  drugs  and  alcohol.  He  has  a  program 
within  the  Shreveport  community  that  I  am  very  proud  of,  and  I 
don't  think  you  could  find  a  better  person  to  confirm  for  the  court. 
So,  finally,  I  can  sum  it  up  by  saying:  This  man  is  fair,  but  he  is 
also  firm. 

Senator  KOHL.  Well,  we  thank  you  very  much,  Mr.  Fields,  Sen- 
ators, and  Congressman. 

We  are  going  to  begin  with  Judge  Stewart.  Judge  Stewart,  you 
have  been  nominated  to  be  circuit  court  judge  for  the  Fifth  Circuit 
Court  of  Appeals.  Would  you  please  raise  your  right  hand? 

Do  you  swear  that  the  testimony  you  shall  give  in  this  proceed- 
ing shall  be  the  truth,  the  whole  truth  and  nothing  but  the  truth, 
so  help  you  Grod? 

Judge  Stewart.  I  do. 

Senator  Kohl.  Judge  Stewart,  if  you  have  any  members  of  your 
family — and  I  know  you  have  them  with  you — we  would  be  happy 
to  have  you  introduce  them  to  us  at  this  time. 

TESTIMONY  OF  CARL  E.  STEWART,  SHREVEPORT,  LA,  TO  BE 
U.S.  CIRCUIT  JUDGE  FOR  THE  FIFTH  CIRCUIT 

Judge  Stewart.  Thank  you.  Senator.  I  will  be  brief  As  men- 
tioned, I  am  very  proud  to  have  my  family  with  me — my  father, 
Richard  G.  Stewart,  Sr.,  if  my  dad  would  stand;  he  is  a  retired  let- 
ter carrier.  My  mother  is  deceased.  My  father  is  here;  my  older 
brother,  Richard  G.  Stewart,  Jr.,  who  is  a  captain  in  the  U.S.  Navy. 
My  wife,  Jo  Ann,  is  present  here.  One  of  my  children,  our  baby 
child,  Kyle,  is  present.  Our  older  two  children  are  in  school  and 
could  not  be  here  with  us. 

My  nephew,  James  T.  White,  is  present,  also,  and  I  have  a  host 
of  friends  and  supporters  and  staff  that  are  here  that  I  am  ex- 
tremely proud  to  have  come  and  support  me,  and  briefly  if  they  will 
just  stand? 

[The  persons  stood.] 

Senator  KOHL.  All  right,  that  is  great.  We  welcome  you  all  here 
today. 

Judge  Stewart.  Thank  you. 

QUESTIONING  BY  SENATOR  KOHL 

Senator  Kohl.  I  have  just  a  couple  of  questions  and  then  I  will 
turn  it  over  to  Senator  Thurmond. 

Judge  Stewart,  if  you  are  confirmed  as  an  appellate  judge,  at 
some  point  you  may  be  faced  with  applying  a  Supreme  Court  prece- 
dent with  which  you  do  not  personally  agree.  Would  you  consider 
yourself  to  be  bound  by  such  precedent? 


118 

Judge  Stewart,  Yes,  sir;  absolutely,  Senator. 

Senator  KOHL.  You  will  also  be  faced  with  cases  involving  issues 
on  which  the  Supreme  Court  has  not  ruled.  In  many  of  those  cases, 
however,  you  will  have  decisions  from  the  fifth  circuit  on  which  to 
rely.  Under  what  circumstances,  if  any,  do  you  believe  an  appellate 
judge  should  overturn  precedent  within  his  or  her  own  circuit? 

Judge  Stewart.  Senator,  in  the  circumstance  where  the  Su- 
preme Court  has  not  ruled,  I  would  be  bound  by  the  law  of  the  cir- 
cuit, in  this  case  the  fifth  circuit,  to  follow  that  law  as  binding 
precedent  on  me  as  one  of  three  in  a  panel.  If  there  was  reason  to 
believe  that  precedent  should  be  overturned,  that  would  only  occur 
in  a  situation  where  the  en  banc  court  decided  to  reverse  the  law 
in  that  circuit.  Otherwise,  I  would  be  bound  to  follow  the  law  of  the 
circuit. 

Senator  KOHL.  Judge  Stewart,  rule  11  of  the  Federal  Rules  of 
Civil  Procedure  allows  judges  to  impose  sanctions  against  lawyers 
or  parties  who  file  frivolous  lawsuits.  Recently,  there  has  been 
much  debate  over  the  courts'  increased  willingness  to  punish  liti- 
gants under  rule  11.  Some  lawyers  argue  that  the  rule,  as  applied, 
sometimes  chills  creative  arguments  in  developing  areas  of  the  law, 
such  as  civil  rights.  As  the  chief  judge  of  the  New  York  Court  of 
Appeals  has  put  it:  "Today's  frivolity  may  be  tomorrow's  prece- 
dent." 

What  do  you  think  of  these  concerns,  and  how  might  you  respond 
to  them  on  the  court  of  appeals? 

Judge  Stewart.  Senator,  I  am  aware  of  the  discussion  and  de- 
bate over  the  imposition  of  rule  11  sanctions.  Like  many  rules,  it 
requires  a  balancing  test,  that  which  certainly  is  measured  by  the 
need  to  control  litigation  and  ensure  that  only  those  cases  which 
are  justiciable  should  be  within  our  courts.  The  Federal  courts  are 
courts  of  limited  jurisdiction  and  limited  time,  and  those  cases 
should  be  handled. 

On  the  other  hand,  in  a  burgeoning  era  of  litigation,  there  are 
a  lot  of  different  lawsuits  that  are  brought  and  I  think  that  rule 
11  should  be  applied  reasonably  and  only  in  those  circumstances 
where  it  absolutely  is  required  to  be  imposed. 

Senator  KoHL.  Finally,  an  issue  currently  before  the  pro  bono 
legal  community  is  whether  work  for  the  disadvantaged  should  be 
a  mandatory  or  voluntary  requirement  for  lawyers.  We  see  that  be- 
cause of  your  judicial  role,  you  have  provided  nonlegal  pro  bono 
services  in  the  past,  including  your  time  with  the  Boy  Scouts  and 
your  positions  on  the  boards  of  youth  service  organizations. 

In  your  view,  do  you  think  pro  bono  work  should  be  a  mandatory 
or  a  voluntary  requirement  for  lawyers? 

Judge  Stewart.  Senator,  mandatory  pro  bono  would  probably 
produce  more  lawyers  doing  pro  bono  work.  However,  a  compelling 
argument  can  be  made  that  by  providing  incentives  for  lawyers  to 
do  it  voluntarily  will  also  bring  about  more  lawyers,  but  they  will 
gain  greater  satisfaction  from  doing  it  because  they  want  to  do  it. 
Lawyers  tend  to  not  want  to  be  mandated  to  do  things,  and  so  a 
great  argument  can  be  made  that  mandatory  pro  bono  should  be 
a  case  of  last  resort. 

Senator  Kohl.  I  thank  you. 

Senator  Thurmond. 


119 

QUESTIONING  BY  SENATOR  THURMOND 

Senator  Thurmond.  Thank  you,  Mr.  Chairman.  Judge,  we  are 
glad  to  have  you  with  us. 

Judge  Stew^t.  Thank  you,  sir. 

Senator  Thurmond.  Thomas  Jefferson  remarked  shortly  after 
the  ratification  of  the  Constitution  these  words,  "Our  nation's  par- 
ticular security  is  the  possession  of  a  written  Constitution.  Let  us 
not  make  it  a  blank  paper  by  construction."  What  do  you  think  he 
meant  by  that  warning,  "Let  us  not  make  it  a  blank  paper  by  con- 
struction?" 

Judge  Stewart.  I  am  not  absolutely  sure.  Senator,  what  he 
meant,  other  than  to  mean  that  judges  in  applying  the  Constitution 
should  look  to  its  words  and  look  to  apply  it  in  situations  narrowly 
where  a  constitutional  issue  is  raised  and  not  merely  in  situations 
where  there  may  be  some  other  statutory  basis  or  some  other  Fed- 
eral common  law  upon  which  to  decide  a  controversy. 

Senator  Thurmond.  The  way  some  judges  have  construed  the 
Constitution  appears  unreasonable,  £ind  I  do  think  we  have  got  to 
be  careful  how  we  construe  the  Constitution.  All  we  have  got  to 
do — it  is  written  very  plainly — is  follow  the  Constitution. 

Now,  I  think  judicial  temperament  is  a  very  important  quality  of 
a  judge.  I  have  seen  some  Federal  judges  yell  at  lawyers,  jurors, 
witnesses,  and  that  is  inexcusable.  The  more  power  you  have,  the 
more  humble  a  person  ought  to  be.  A  judge  has  all  the  power,  even 
over  life  and  death,  and  therefore  I  think  he  ought  to  be  very  hum- 
ble. How  do  you  feel  about  that? 

Judge  Stewart.  I  would  agree  with  you.  Senator.  I  have  always 
believed  that  a  judge,  whether  elected  or  appointed,  is  a  public 
servant  and  that  he  or  she  should  accord  himself  to  lawyers  and 
litigants  with  that  in  mind  and  should  exercise  only  the  amount  of 
power  necessary  in  order  to  allow  litigants  to  resolve  their  dif- 
ferences in  the  courtroom. 

I  have  been  very  proud  of  an  ability  to  hopefully  have  people 
leave  my  courtrooms  feeling  that  they  got  a  fair  shake  even  if  they 
disagreed  with  the  outcome,  but  to  feel  that  the  atmosphere  of  the 
courtroom  was  a  fair  one. 

Senator  Thurmond.  You  have  a  fine  record  and  I  wish  you  well 
on  the  bench. 

Judge  Stewart.  Thank  you,  sir. 

Senator  Thurmond.  Thank  you,  Mr.  Chairman. 

Senator  KOHL.  We  thank  you  very  much,  and  you  are  excused. 

Judge  Stewart.  Thank  you,  Mr.  Chairman. 

Senator  KOHL.  Our  next  nominee  is  Judge  James  Carr,  who  has 
been  nominated  to  be  district  judge  for  the  Northern  District  of 
Ohio. 

Judge  Carr,  would  you  raise  your  right  hand?  Do  you  swear  that 
the  testimony  you  shall  give  in  this  proceeding  shall  be  the  truth, 
the  whole  truth  and  nothing  but  the  truth,  so  help  you  God? 

Judge  Carr.  I  do. 

Senator  Kohl.  Thank  you,  sir.  You  may  sit  down,  and  we  would 
be  happy  to  be  introduced  to  members  of  your  family  if  they  are 
here  with  you. 


120 

TESTIMONY  OF  JAMES  CARR,  TOLEDO,  OH,  TO  BE  U.S. 
DISTRICT  JUDGE  FOR  THE  NORTHERN  DISTRICT  OF  OHIO 

Judge  Carr.  With  me  today,  and  it  is  a  great  honor  for  me  and 
it  is  a  thrill  for  me  for  them  to  share  in  this  honor,  are,  first,  my 
father,  Edmund  Carr,  who  is  in  his  82d  year.  At  age  65,  after  retir- 
ing from  a  successful  career,  he  went  to  law  school  and  he  is  still 
an  active  and  productive  member  of  our  family  and  society. 

After  him,  I  would  like  to  introduce  my  wife,  who  is  a  part  of  ev- 
erything I  have  ever  done  and  ever  been,  and  she,  of  course,  is  the 
mother  of  our  four  daughters,  Maureen,  Megan,  Darrah,  and 
Caitlin.  I  am  happy,  as  well,  to  have  my  brother,  and  my  brother- 
in-law  and  my  sister-in-law  and  their  children,  and  several  other 
people. 

Senator  KOHL.  Well,  we  are  happy  to  have  you  all  with  us  here. 

Judge  Carr.  Thank  you. 

Senator  Kohl.  Before  I  ask  you  a  question,  I  would  like  to  men- 
tion to  you  and  people  here  today  that  Judge  Carr  comes  highly 
recommended  by  my  very  good  friend,  for  whom  I  have  the  highest 
regard,  E.  Michael  McCann,  the  Milwaukee  County  district  attor- 
ney. I  have  a  wonderful  letter  in  your  behalf  from  District  Attorney 
McCann  and  I  will  put  it  in  the  record  at  this  point. 

Judge  Carr.  Thank  you. 

[The  letter  referred  to  follows:] 

Office  of  Dsitrict  Attorney, 

Milwaukee  County, 
Milwaukee,  WI,  April  18,  1994. 
Senator  Herb  Kohl, 
Hart  Senate  Office  Building, 
Washington,  DC. 

Dear  Senator  Kohl:  I  understand  that  the  appointment  of  James  G.  Carr  to  the 
Federal  District  Court  for  the  Northern  District  of  Ohio  will  be  before  the  Senate 
Judiciary  Committee  on  Thvu^day,  April  21,  1994.  Mr.  Carr  would  be  a  truly  excel- 
lent judge  and  I  urge  the  committee  to  confirm  his  appointment. 

Mr.  Carr  and  I  have  served  together  for  several  years  on  the  Board  of  Directors 
of  the  Nationad  Pretrial  Services  Resource  Center,  a  not-for-profit  corporation  which 
addresses  the  array  of  problems  in  the  pretrial  portion  of  the  criminal  justice  sys- 
tem. From  my  personal  observations,  I  know  Mr.  Carr  is  a  man  possessing  sound 
judgement  and  a  strong  work  ethic. 

First  as  a  law  teacher  and  then  as  a  federal  magistrate,  James  Carr  has  consist- 
ently demonstrated  superior  legal  scholarship.  His  opinion  as  a  magistrate  in  United 
States  V.  Steven  Wayne  Yee,  case  No.  3:89  CR  0720,  Northern  District  of  Ohio,  West- 
em  Division,  is  the  finest  legal  evaluation  of  DNA,  in  my  estimate,  that  has  been 
written. 

I  have  taken  the  liberty  of  attaching  a  copy  of  Magistrate  Carr's  resume.  His  ex- 
perience and  publications  further  highlight  his  outstanding  qualifications  for  the 
federal  judiciary. 

James  G.  Carr  is  a  man  concerned  with  justice.  He  is  felicitously  graced  with  pa- 
tience, common  sense,  unimpeachable  integrity  and  a  very  fine  mind. 

I  keenly  recommend  his  confirmation  and  would  be  delighted  if  you  see  fit  to  in- 
clude this  letter  in  the  hearing  materials. 
Sincerely  yours, 

E.  Michael  McCann, 

District  Attorney. 

QUESTIONING  BY  SENATOR  KOHL 

Senator  KoHL.  Judge  Carr,  you  have  served  as  a  Federal  mag- 
istrate for  15  years.  In  many  respects,  you  have  performed  duties 
similar  to  those  of  a  Federal  district  court  judge.  If  you  are  con- 


121 

firmed,  how  do  you  foresee  your  responsibilities  changing  on  a  day- 
to-day  basis  from  those  exercised  now  as  a  U.S.  magistrate? 

Judge  Carr.  The  principal  change  will  be  that  I  will  be  respon- 
sible for  the  trial  and  also  taking  guilty  pleas  in  felony  cases  and, 
of  course,  sentencing  in  felony  cases.  Other  than  that,  in  terms  of 
my  daily  routine,  I  foresee  practically  nothing  changing,  except  the 
workload  getting  even  bigger. 

Senator  KOHL.  From  your  broad  experience  as  a  magistrate,  can 
you  offer  any  suggestions  to  us  on  how  to  improve  magistrates'  cur- 
rent role  in  the  judicial  system? 

Judge  Carr.  I  think  quite  candidly,  Senator,  that  if  all  judges, 
all  district  judges,  could  treat  and  assign  the  responsibilities  to  the 
magistrates  in  the  way  that  I  have  been  treated  for  almost  15 
years  by  the  judges  in  our  court,  that  would  probably  be  a  substan- 
tial enhancement  of  the  role  that  magistrates  play.  I  have  been  ex- 
tremely fortunate  to  work  closely  and  well  and  be  treated  as  a  peer 
by  outstanding  district  judges. 

Senator  KOHL.  I  understand.  Judge,  that  early  in  your  legal  ca- 
reer you  were  a  staff  attorney  with  the  Cook  County  Legal  Assist- 
ance Foundation.  As  part  of  your  daily  caseload,  you  represented 
almost  exclusively  poor  and  disadvantaged  clients.  What  role,  if 
any,  and  how,  do  you  think  a  judge  has  in  ensuring  that  the  poor 
and  disadvantaged  have  access  to  the  legal  system? 

Judge  Carr.  Well,  of  course,  I  think  that  there  should  be  no  im- 
pediment to  anyone  coming  into  court.  I  routinely  sign  petitions  to 
proceed  pro  se  and  in  forma  pauperis.  I  perhaps  should  mention 
that,  at  my  suggestion,  the  Toledo  Bar  Association  about  2  years 
ago  proposed  to  the  district  court  of  our  district  a  procedure  for  de- 
veloping a  fund  so  that  attorneys  who  take  on  pro  bono  cases  for 
indigent  civil  plaintiffs  and  civil  defendants  would  be  able  to  be  re- 
imbursed or  have  a  modest  amount  of  money  paid  to  them  to  com- 
pensate them  for  direct  out-of-pocket  costs.  We  had  no  such  fund 
of  that  sort  in  our  court. 

I  will  only  say  that,  if  confirmed,  I  hope  to  recall  that  proposal 
to  the  attention  of  my  colleagues  and  to  take  speedy  action  on  it. 
I  think  that  perhaps  one  of  the  great  instances  of  unfairness  in  our 
system  is  the  inability  of  civil  plaintiffs  and  defendants  to  obtain 
counsel  who  will  represent  them  faithfully  and  competently. 

Senator  KoHL.  A  last  question  before  I  turn  it  over  to  Senator 
Thurmond.  Mandatory  minimum  sentences  have  been  the  subject 
of  much  debate.  In  fact,  yesterday  at  a  hearing  that  I  chaired,  two 
Federal  circuit  court  judges  criticized  mandatory  minimums,  and 
one  of  my  colleagues  called  them  a  "rule  of  thumb  rather  than  a 
rule  of  reason." 

As  a  Federal  judge,  what  would  you  do  if  faced  with  a  situation 
where  you  vvere  called  upon  to  impose  a  sentence  that  you  felt  was 
too  harsh  either  because  of  a  mandatory  minimum  or  because  it 
was  called  for  by  the  sentencing  guidelines?  What  would  you  do  in 
that  case? 

Judge  Carr.  I  would  be  required  to  impose  the  sentence  that  was 
required  by  law. 

Senator  KOHL.  How  do  you  feel  about  mandatory  minimums? 

Judge  Carr.  I  think  that  they  are  troublesome  in  a  couple  of  re- 
spects. One  is  that  they  can  have  a  tendency  to  undercut  the  effect 


122 

of  the  sentencing  guidelines  and  the  Sentencing  Commission.  Sec- 
ond, they  make  it  extremely  difficult,  if  not  impossible,  to  treat  sep- 
arate cases  and  individusds  separately  when  those  persons  are  con- 
victed of  the  same  statutory  offense. 

Senator  KOHL.  All  right,  thank  you. 

Senator  Thurmond. 

QUESTIONING  BY  SENATOR  THURMOND 

Senator  THURMOND.  Thank  you,  Mr.  Chairman.  We  frequently 
hear  the  argument  that  courts  act  in  response  to  various  social 
problems  because  the  legislature  has  failed  to  act  on  its  own.  How 
would  you  respond  to  this  defense  of  an  activist  judiciary? 

Judge  Carr.  I  don't  think  it  is  much  of  a  defense  at  all.  I  don't 
think  it  is  a  position  that  can  be  asserted  at  all.  I  think  that  the 
court — the  last  thing  any  court  should  be  doing  is  acting  either  in 
response  to  its  perception  of  some  social  problem  or  its  personal 
view  or  outlook  as  to  how  things  ought  to  be.  We  are  constrained 
by  the  law,  beginning  with  the  Constitution,  the  statutes  and  the 
precedent  and  the  rules  that  have  been  adopted  to  guide  us  in  our 
procedure,  and  that  is  the  only  place  we  can  look  in  performing  our 
duties. 

Senator  Thurmond.  Judge,  someone  called  my  attention  to  a 
speech  you  made  in  1990  to  the  New  Probation  and  Pre-Trial 
Chiefs  Conference.  It  is  alleged  that  you  stated,  'The  past  couple 
of  years  have  encompassed  the  most  thoroughgoing  change  in 
penalogical  philosophy  in  our  country's  history — a  shift  from  reha- 
bilitation to  prolonged  and  thoroughgoing  incapacitation."  This  ar- 
ticle says  you  claimed  that  in  making  this  shift,  Congress  has 
manifested  an  approach  that  probably  can  best  be  described  as 
gulag  syndrome. 

Would  you  tell  us  what  you  meant  by  that? 

Judge  Carr.  What  I  meant  by  that.  Senator,  was  that  as  a  result 
of  sentencing  reform,  principally  mandatory  minimum  sentences, 
we  have  many  people,  often  quite  young,  people  in  their  early  20's, 
charged  with  very  serious  offenses,  but,  as  a  result  of  the  Federal 
sentencing  structure,  find  themselves  confronted  with  very  long 
terms  of  incarceration,  including  life  imprisonment. 

And  what  I  meant  by  that  was  that  we  have  substituted  what 
historically  had  been  an  intent  or  a  desire  to  undertake  to  rehabili- 
tate people,  particularly  younger  persons  charged  with  serious  of- 
fenses and  convicted  of  very  serious  offenses,  and  instead  have 
adopted  an  approach  that  in  many  respects  sends  them  away,  inca- 
pacitates them  and  obviously  protects  society  in  that  regard,  while 
at  the  other  hand  turning  our  back  to  a  fair  extent  on  the  rehabili- 
tative efforts. 

Senator  Thurmond.  Do  you  continue  to  believe  that  Congress' 
approach  to  sentencing  can  best  be  described  as  the  gulag  S3ni- 
drome? 

Judge  Carr.  I  think  that  when  one  adopts  particularly  manda- 
tory minimum  sentences  that  mandate  in  all  instances  extremely 
long  or  very  long  periods  of  incarceration,  up  to  and  including  life 
terms  when  you  start  multiplying  sentences — I  think  that  that,  al- 
though a  very  strong  statement,  is  one  observation.  Let  me  make 
clear,  however,  as  I  said  to  Senator  Kohl — and  this  is  obviously 


123 

something  anyone  in  this  position,  anybody  contemplating  the 
honor  of  being  confirmed  by  the  Senate,  considers,  and  I  have  abso- 
lutely no  doubt  whatsoever  that  when  called  upon  to  do  so,  I  will 
apply  the  sentencing  guidelines  and  the  mandatory  minimums 
faithfully  and  in  full  accordance  with  the  law  and  as  required  by 
Congress. 

Senator  Thurmond.  Was  your  purpose  in  making  this  statement 
to  criticize  the  Congress,  or  what  was  your  purpose? 

Judge  Carr.  My  purpose  may  have  been  to  criticize  the  Con- 
gress. I  think  it  was  more  to  express  concern  about  the  displace- 
ment of  rehabilitation  as  a  paramount  penalogical  goal. 

Senator  Thurmond.  At  the  time  you  made  this  statement,  you 
were  a  Federal  magistrate? 

Judge  Carr.  Yes,  sir. 

Senator  Thurmond.  Do  you  believe  that  persons  are  being  held 
in  U.S.  prisons  solely  because  of  their  political  views? 

Judge  Carr.  No,  sir,  absolutely  not,  under  no  circumstance,  and 
if  that  is  an  interpretation  of  that  phrase  or  statement,  that  is  ob- 
viously incorrect  in  terms  of  my  expression. 

Senator  Thurmond.  That  is  all,  Mr.  Chairman. 

Senator  KoHL.  We  thank  you.  Senator  Thurmond,  and  we  excuse 
you.  Judge  Carr. 

Judge  Carr.  Thank  you.  Senator  Kohl. 

Senator  KOHL.  We  now  have  Judge  Clarence  Cooper.  Judge  Coo- 
per has  been  nominated  to  be  district  court  judge  for  the  Northern 
District  of  Georgia. 

Judge  Cooper,  would  you  please  raise  your  right  hand?  Do  you 
swear  that  the  testimony  you  shall  give  in  this  proceeding  shall  be 
the  truth,  the  whole  truth  and  nothing  but  the  truth,  so  help  you 
God? 

Judge  Cooper.  I  do. 

Senator  KOHL.  We  thank  you,  sir.  Be  seated.  If  you  have  any 
members  of  your  family  with  you,  we  would  be  delighted  in  getting 
to  know  them. 

TESTIMONY  OF  CLARENCE  COOPER,  ATLANTA,  GA,  TO  BE  U.S. 
DISTRICT  JUDGE  FOR  THE  NORTHERN  DISTRICT  OF  GEORGIA 

Judge  Cooper.  Thank  you.  Mr.  Chairman,  Senator  Thurmond,  I 
would  like  to  introduce  members  of  my  family  at  this  time,  and  I 
do  want  them  to  stand  since  they  are  seated  in  the  rear  of  this  au- 
dience. 

My  wife,  Shirley,  will  you  please  stand?  My  mother.  Hazel  Coo- 
per; my  mother-in-law,  Ms.  Lillie  Mae  Elder;  my  daughter,  Jennae 
Cooper;  and  my  son,  Corey  Clarence  Cooper.  I  have  two  family 
members  seated  up  front,  to  my  left.  Emmanuel  and  Pamela 
Payton,  will  you  both  stand? 

[The  persons  stood.] 

Senator  KOHL.  Well,  we  are  delighted  to  have  you  all  here  with 
us  today. 

Judge  Cooper,  in  1981  and  1982,  you  presided  over  the  highly 
publicized  trial  of  Wayne  Williams,  the  man  who  was  found  guilty 
of  murdering  2  of  the  28  young  blacks  who  were  killed  in  Atlanta. 
Citing  potential  harm  to  the  city's  children,  you  at  that  time  re- 
fused to  allow  television  cameras  in  the  courtroom  during  that 


124 

trial.  Having  cameras  in  the  courtroom  sometimes  requires  a  bal- 
ance between  the  value  of  a  free  press  and  the  interest  in  having 
justice  rendered  fairly  and  without  distortion. 

Do  you,  sir,  believe  that  TV  cameras  should  ever  be  permitted  in 
Federal  courtrooms? 

Judge  Cooper.  I  am  a  proponent  of  cameras  in  the  courtroom, 
and  despite  the  ruling  that  I  entered  in  that  case,  I  personally  felt 
that  maybe  the  case  should  have  been  televised,  but  I  received  so 
many  letters  from  psychiatrists,  mental  health  experts,  and  child 
psychologists  who  suggested  that  probably  the  case  shouldn't  be 
aired  simply  because  so  many  children  had  experienced  traumatic 
psychological  and  emotional  problems. 

And  I  don't  know  whether  or  not  you  are  aware  of  it.  Senator, 
but  I  did  hold  a  hearing  on  that  issue  as  to  whether  or  not  it 
should  be  televised.  During  that  evidentiary  hearing,  I  heard  from 
mental  health  experts,  psychologists,  psychiatrists,  social  workers, 
and  other  people  from  other  disciplines,  and  all  of  them,  except  one 
person,  felt  that  the  case  should  not  be  aired  because  of  the  trauma 
that  these  kids  experienced,  and  they  felt  that  if  it  were  televised, 
then  these  traumas  would  recur.  So  I  acted  on  what  was  in  the 
record,  and  the  decision  was  one  with  which  both  parties  agreed. 

QUESTIONING  BY  SENATOR  KOHL 

Senator  KoHL.  So  I  would  take  it,  as  a  Federal  judge,  if  it  were 
permissible,  you  would  allow  cameras  in  your  courtroom? 

Judge  Cooper.  I  think  it  brings  about  a  greater  understanding 
on  the  part  of  the  public  as  to  what  we  do,  particularly  when  it 
comes  to  the  civil  process  because  it  is  so  complicated  and  cum- 
bersome, and  I  think  many  people  fmd  that  more  of  a  mystery  than 
they  do  the  criminal  process.  So  I  think  it  would  be  something  that 
the  public  could  benefit  from,  were  they  able  to  see  a  civil  trial  in 
Federal  court  from  time  to  time. 

Senator  KoHL.  In  the  past  few  years,  there  has  been  a  growth 
in  the  use  of  secrecy  orders  in  product  liability,  malpractice,  and 
environmental  cases.  Critics  of  this  trend  claim  that  those  orders 
prevent  the  public  from  learning  about  very  serious  threats  to  pub- 
lic health  and  safety. 

During  your  years  in  private  practice,  I  know  you  had  broad  ex- 
perience in  civil  litigation.  Judge  Cooper,  how  should  a  judge  who 
hears  a  request  to  make  documents  in  such  cases  confidential  bal- 
ance the  public's  right  to  know  against  a  litigant's  right  to  privacy? 

Judge  Cooper.  Senator,  that  is  a  very  difficult  task  to  undertake, 
as  you  know.  It  requires  much  of  a  judge  and,  of  course,  I  did  han- 
dle several  cases  involving  that  issue.  The  judge  has  to  do  a  bal- 
ancing act;  he  has  to  weigh  the  interests  of  both  sides,  the  public's 
right  to  know  as  opposed  to  the  litigant's  right  to  keep  certain  mat- 
ters confidential  and  private. 

Some  of  these  matters  are  very  sensitive  matters  and  some  may 
involve  people  not  directly  or  indirectly  a  part  of  the  lawsuit,  but 
may  affect  them  adversely.  Also,  a  judge  should  be  guided  by  some 
of  the  parameters  he  may  consider  and  how  the  law  has  been 
evolving  in  this  area  in  terms  of  his  ultimate  decision.  But  I  think 
his  decision  should  be  a  reasoned  one  and  it  should  be  based  on 


125 

not  only  what  is  in  the  best  interests  of  the  public,  but  also  the 
rights  of  the  litigants. 

Just  remember,  these  are  private  litigants  who  themselves  some- 
times agree  that  maybe  certain  matters  should  be  kept  secret  not 
only  to  protect  themselves,  but  to  protect  other  people. 

Senator  KoHL.  Well,  let  me  ask  you  this.  I  have  introduced  legis- 
lation that  would  prohibit  judges  from  allowing  confidentiality  or- 
ders when  the  information  sought  to  be  made  secret  relates  to  pub- 
lic health  and  safety.  It  would  prohibit  confidential  orders  when  we 
are  talking  about  public  health  and  safety. 

Yesterday,  we  held  a  hearing  on  this  measure,  but  opponents  of 
the  bill  made  the  following  argument,  and  I  think  you  mentioned 
it  just  a  minute  ago,  that  the  civil  justice  system  is  about  settling 
private  disputes  between  parties  and  not  necessarily  protecting  the 
public  interest.  How  do  you 

Judge  Cooper.  Don't  misunderstand  me.  That  is  one  of  the  con- 
siderations one  must  make  in  balancing  the  various  interests. 

Senator  KOHL.  Well,  how  do  you  feel  about  a  law  that  would  say 
when  public  health  and  safety  is  involved,  a  judge  cannot  allow  a 
secrecy  order? 

Judge  Cooper.  Senator,  I  don't  want  to  prejudge  what  might  be 
before  me  as  a  Federal  district  court  judge,  and  that  very  issue 
might  arise  and  I  don't  want  to  commit  myself  at  this  time.  I  can 
only  say  that  I  would  balance  the  competing  interests  and  make  a 
decision  that  I  think  would  be  fair  to  the  parties  involved,  but  I 
don't  want  to  commit  myself  to  a  position  at  this  time. 

Senator  KoHL.  All  right,  very  good.  You  should  be  running  for  of- 
fice. [Laughter.] 

Senator  Thurmond. 

QUESTIONING  BY  SENATOR  THURMOND 

Senator  Thurmond.  Thank  you,  Mr.  Chairman.  I  believe  you 
were  in  the  Army  2  years  in  the  Judge  Advocate  General's  Corps? 

Judge  Cooper.  Yes,  I  was. 

Senator  Thurmond.  I  guess  you  found  that  an  interesting  experi- 
ence. 

Judge  Cooper,  Quite  interesting. 

Senator  Thurmond.  What  was  your  rank  there? 

Judge  Cooper.  I  was  an  E-6,  a  specialist  E-6,  when  I  came  out 
of  service  after  my  2-year  stint — ^E-6. 

Senator  Thurmond.  You  served  as  a  Fulton  Superior  Court  judge 
and  on  the  Georgia  Court  of  Appeals,  also — 10  years  on  the  Fulton 
court,  and  you  are  still  on  the  court  of  appeals,  is  that  right? 

Judge  Cooper.  Yes.  I  presently  serve  on  the  Georgia  Court  of 
Appeals,  where  I  have  been  for  the  last  4  years.  Prior  to  that,  I  was 
on  the  Fulton  Superior  Court  bench  9  years. 

Senator  Thurmond.  Which  type  work  do  you  like  the  best? 

Judge  Cooper.  Well,  I  am  willing  to  return  to  the  trenches.  I 
think  I  found  that  much  more  exciting  than  the  work  that  I  do  as 
an  appellate  court  judge,  although  I  really  enjoy  my  appellate  court 
work,  but  I  do  miss  tremendously  being  a  part  of  that  whole  proc- 
ess that  we  call  the  jury  trial  system.  So  I  would  love  to  return  to 
that. 


126 

Senator  Thurmond.  Do  you  see  any  difficulty  in  transferring 
from  that  type  of  work 

Judge  Cooper.  Having  been  on  the  bench  for  18  years — I  am 
sorry,  Senator;  go  ahead. 

Senator  Thurmond.  You  didn't  let  me  get  through. 

Judge  Cooper,  OK,  that  is  right.  I  am  sorry. 

Senator  Thurmond.  Do  you  see  any  difference  in  the  work  you 
did  then  and  the  work  you  will  do  now  as  a  judge  of  the  Northern 
District  of  Georgia? 

Judge  Cooper,  The  only  difference  would  be  the  kinds  of  cases 
that  I  would  be  exposed  and  handling,  were  I  confirmed  and  be- 
came a  Federal  district  court  judge,  but  I  think  the  skills  are  basi- 
cally the  same.  I  have  been  at  judging  for  now  18  years,  having 
served  as  a  city  judge,  a  county  judge,  and  now  on  the  State  appel- 
late court.  So  I  have  been  able  to  acquire  certain  skills  over  the 
years  that  should  aid  me  in  this  transition. 

But  there  are  areas  of  the  Federal  law  that  I  have  never  been 
exposed  to — title  VII  cases,  antitrust  cases,  tax  cases,  patent  rights 
cases,  and  other  cases  of  this  nature,  and  those  are  cases  that  I  am 
looking  forward  to  if  confirmed  by  the  Senate. 

Senator  Thurmond.  How  would  you  handle  an  instance  in  which 
counsel  for  one  of  the  parties  in  your  court  was  obviously  not  a 
skilled  litigator  and  not  prepared  to  adequately  represent  the  inter- 
ests of  his  or  her  client? 

Judge  Cooper.  That  is  a  very  difficult  question,  I  have  been  con- 
fronted with  that  on  several  occasions,  and  I  understand  that,  you 
know,  as  a  judge  I  must  respect  the  wishes  of  one  of  the  parties 
as  to  whom  he  or  she  wants  as  his  or  her  attorney.  That  issue  is 
even  more  pronounced  in  criminal  matters  than  civil  matters,  but 
I  respect  the  issues  of  the  parties  as  to  whom  they  want  to  des- 
ignate as  their  lawyers  and  I  try  not  to  interfere,  although  from 
time  to  time  a  judge  may  do  some  things  to  help  the  case  along. 
But  that  is  something  that  a  judge  is  very  uncomfortable  with 
when  there  is  a  mismatch  in  court.  One  of  the  parties  to  the  litiga- 
tion has  an  incompetent  lawyer  and  the  other  side  has  a  very  com- 
petent lawyer,  and  so  you  have  to  live  with  those  results,  regret- 
tably. 

Senator  Thurmond.  Under  the  Constitution,  we  have  three 
branches  of  government.  The  legislative  branch,  the  Congress, 
makes  the  law.  The  executive  branch,  headed  by  the  President,  ad- 
ministers the  law.  The  judicial  branch,  headed  by  the  Supreme 
Court,  interprets  the  law. 

Now,  we  have  found  that  in  some  cases  some  of  the  judges,  if 
they  didn't  like  the  law,  f^lt  they  had  a  right  to  modify  it  and  use 
their  own  opinions.  How  do  you  feel  about  that? 

Judge  Cooper.  Well,  I  think  it  would  be  wrong  for  a  judge  to  ig- 
nore precedent,  stare  decisis,  to  usurp  the  power  of  the  legislative 
branch  of  government.  Judges  are  not  there  to  make  law.  We  are 
there  to  interpret  and  apply  law. 

Senator  Thurmond.  Some  call  it  judicial  activism,  taking  to  their 
power  something  they  don't  have.  Your  job  as  a  judge  is  to  inter- 
pret the  law  and  not  make  the  law. 

Judge  Cooper.  I  understand  that. 

Senator  Thurmond.  Do  you  agree  with  that? 


;  127 

Judge  Cooper.  Wholeheartedly. 

Senator  Thurmond.  That  is  all.  Thank  you. 

Judge  Cooper.  Thank  you. 

Senator  KoHL.  We  thank  you,  Judge  Cooper,  and  you  are  ex- 
cused. 

Judge  Cooper.  Thank  you. 

Senator  KOHL.  Our  next  nominee  is  Judge  Frank  M.  Hull.  She 
has  been  nominated  to  be  district  court  judge  for  the  Northern  Dis- 
trict of  Georgia. 

Judge  Hull,  will  you  raise  your  right  hand?  Do  you  swear  that 
the  testimony  you  shall  give  in  this  proceeding  shall  be  the  truth, 
the  whole  truth  and  nothing  but  the  truth,  so  help  you  God? 

Judge  Hull.  I  do. 

Senator  KoHL.  Thank  you,  Judge  Hull.  If  you  would  like  to  intro- 
duce any  members  of  your  family,  we  would  be  delighted  to  meet 
them. 

TESTIMONY  OF  FRANK  M.  HULL,  ATLANTA,  GA,  TO  BE  U.S. 
DISTRICT  JUDGE  FOR  THE  NORTHERN  DISTRICT  OF  GEORGIA 

Judge  Hull.  Thank  you.  First,  Senator  Kohl,  I  would  like  to 
thank  you  for  chairing  the  hearing  on  this  busy  afternoon  for  you, 
and  I  would  like  to  thank  Senator  Thurmond  for  your  presence  on 
this  busy  afternoon  for  you. 

At  this  time,  joining  me  are  my  family  members  from  Georgia: 
my  husband,  Tony  Aeck;  my  two  children,  Richard  Hull  Aeck,  and 
our  daughter,  Molly  Hull  Aeck;  my  mother,  another  Frank— she  is 
Frank  Mays  Pride;  my  uncle,  Inman  Mays;  my  sister,  Carol  Hull 
Palmer;  my  brother,  James  Meriwether  Hull;  a  close  family  friend, 
Ms.  Wilma  Hudson;  a  cousin,  Katherine,  Mays;  another  close  fam- 
ily friend,  Terry  Adamson,  from  Washington,  DC,  who  was  my  law 
school  classmate  20  years  ago;  two  other  close  family  friends,  Mark 
Eaton  and  Brooksie  Koopman;  my  cousin,  Richard  Sullivan. 

I  have  my  secretary  of  12  years,  Darlene  Buchanan,  who  is  here. 
I  have  my  current  law  clerk,  Diana  Willis,  and  I  am  proud  to  have 
two  former  law  clerks,  Theresa  Gilstrap  and  Renata  Turner,  here 
with  me  today. 

Senator  KOHL.  Well,  we  are  delighted  to  have  such  a  consider- 
able entourage.  [Laughter.] 

Judge  Hull.  And  I  appreciate  your  allowing  me  to  introduce  all 
of  them. 

QUESTIONING  BY  SENATOR  KOHL 

Senator  KOHL.  Well,  we  thank  you.  This  hearing  was  originally 
scheduled  for  a  smaller  room,  and  I  went  to  that  room  before  and 
it  was  empty  and  they  told  me  to  come  down  here  to  this  larger 
room.  Now,  I  know  why. 

Judge  Hull,  much  of  your  experience  has  been  in  State  court.  If 
confirmed,  you  will  face  a  docket  that  includes  a  heavier  caseload 
of  constitutional,  employment,  and  civil  rights  cases.  What  steps  do 
you  plan  to  take  to  familiarize  yourself  with  those  areas  of  the  law 
with  which  you  may  lack  experience  at  the  present  time? 

Judge  Hull.  There  would  be  a  number  of  steps  I  would  follow. 
First,  on  the  district  court,  if  I  am  confirmed,  that  I  would  be  join- 
ing, several  of  the  judges  have  an  in-house  training  program  for 


128  \ 

the  other  judges.  Our  chief  judge  has  already  informed  Judge  Coo- 
per and  me,  if  we  were  confirmed,  that  would  be  occurring  over  the 
next  4  months. 

I  would  also  take  advantage  of  the  materials  that  have  already 
been  sent  to  all  of  us  from  the  Federal  Judicial  Center,  as  well  as 
the  various  orientation  programs  that  you  have  the  opportunity  to 
attend  as  a  Federal  judge,  if  confirmed. 

Senator  KoHL.  Very  good.  Judge  Hull,  I  understand  that  Atlanta 
has  something  called  the  Atlanta  Project,  which  is  designed  to  at- 
tack poverty  at  its  roots  by  dividing  Atlanta  and  surrounding  coun- 
ties into  cluster  communities  and  employing  coordinators  to  guide 
local  residents  in  seeking  ways  to  enhance  their  quality  of  life. 

In  October  1993,  you  piloted  an  effort  in  the  Washington  Cluster 
in  which  residents  became  voluntary  probation  officers  and  coun- 
selors for  first-time  nonviolent  offenders.  Could  you  tell  us  how  suc- 
cessful that  program  was  and  did  it,  in  fact,  spread  to  other  parts 
of  the  city,  as  was  originally  hoped? 

Judge  Hull.  The  Atlanta  Project  wants  to  undertake  any  new 
program  as  a  pilot  for  at  least  2  years,  so  it  has  not  spread  yet  be- 
cause they  want  to  work  out  all  of  the  problems  in  the  program, 
so  it  has  not  spread  and,  frankly,  it  is  too  early  to  tell.  However, 
we  have  a  neighboring  jurisdiction  that  has  used  such  a  program, 
Cobb  County,  and  it  has  been  extremely  successful  there. 

Senator  Kohl.  Judge  Hull,  Congress  is  contemplating  legislation 
aimed  at  reducing  overcrowding  in  Federal  courts  by  allowing  Fed- 
eral judges  to  assign  some  of  their  smaller  cases  to  court-appointed 
arbitrators.  Now,  many  judges  and  lawyers  have  expressed  con- 
cerns about  this  approach.  They  say  that  it  infringes  upon  the 
rights  of  citizens  to  a  jury  trial.  What  do  you  think  about  this?  Do 
you  have  any  thoughts  to  offer  us? 

Judge  Hull.  In  Fulton  County,  we  have  had  an  arbitration  pro- 
gram for  10  years  that  I  have  used  very  frequently  as  a  trial  judge, 
and  this  has  been  our  experience.  The  arbitration  program  has 
three  court-appointed  arbitrators  from  lawyers  and  other  citizens 
who  volunteer  to  serve  or  who  are  paid  if  they  do  not  volunteer. 

We  assign  a  case  to  arbitration  at  a  very  early  phase  in  the  case. 
It  is  nonbinding  arbitration;  that  is,  the  decision  is  nonbinding,  but 
it  is  binding  that  you  must  attend  the  arbitration.  Lawyers  are 
given  1  to  2  hours  to  present  their  side.  The  arbitrators  make  a  de- 
cision, and  then  if  someone  is  dissatisfied,  they  have  30  days  in 
which  to  simply  write  a  letter,  no  cost,  and  say  I  want  my  jury 
trial.  That  program  has  been  extremely  successful. 

In  Atlanta,  we  are  assigned  1,800  new  cases.  In  fact,  my  Federal 
court  caseload  will  be  less  considerably  in  terms  of  number  of  cases 
than  my  current  State  caseload.  We  have  found  arbitration — 50 
percent  of  the  cases  settle  before  they  even  go  to  the  arbitration  be- 
cause they  were  going  to  settle  anjrway.  Another  25  percent  settle 
within  3  months  after  the  arbitration.  I  favor  it  in  a  nonbinding  ar- 
bitration matter. 

Senator  Kohl.  I  thank  you.  That  is  a  very  good  answer. 

Senator  Thurmond, 

QUESTIONING  BY  SENATOR  THURMOND 

Senator  Thurmond.  Thank  you,  Mr.  Chairman. 


129 

I  notice  you  were  bom  in  Augusta,  GA. 

Judge  Hull.  Yes,  and  I  have — all  my  relatives  here  are  mostly 
bom  in  Augusta,  too.  Senator. 

Senator  Thurmond.  I  live  at  Aiken,  just  17  miles  from  Augusta. 
I  had  two  brothers  that  were  obstetricians  at  Augusta,  Dr.  William 
Thurmond  and  Dr.  Greorge  Thurmond. 

Judge  Hull.  And  I  know  of  them,  sir,  and  you  may  have  known 
of  my  grandfather,  Jim  Hull,  from  Augusta,  many  years  ago. 

Senator  Thurmond.  You  don't  anticipate  any  difficulty  in  chang- 
ing to  a  new  type  job  as  a  Federal  judge  from  what  you  are  doing 
now,  do  you? 

Judge  Hull.  No,  sir,  I  do  not. 

Senator  Thurmond.  Do  you  believe  that  a  judge  should  assume 
direct  control  over  complex  issues  and  cases  in  order  to  avoid 
delays  in  effective  management  of  such  cases? 

Judge  Hull.  Yes,  sir,  I  do.  In  fact,  100  years  ago  you  could  just 
hear  the  case  and  decide  it.  Today,  you  have  an  equally  important 
role  to  be  a  hands-on  case  manager  because  of  the  explosion  in  liti- 
gation. Particularly  with  my  State  court  caseload,  I  have  done  that 
through  a  number  of  techniques,  which  I  would  be  glad  to  expound 
upon  if  you  would  like,  already  for  the  last  10  years  as  a  trial 
judge,  sir. 

Senator  Thurmond.  What  do  you  believe  will  be  the  most  re- 
warding aspect  of  serving  as  a  Federal  judge? 

Judge  Hull.  The  same  rewarding  aspect  I  have  had  for  10  years 
as  a  trial  judge,  attempting  to  help  litigants  resolve  disputes  in  a 
peaceful,  orderly  fashion  earlier  than  later. 

Senator  Thurmond.  I  don't  think  I  have  any  further  questions. 
I  wish  you  well  on  the  bench. 

Judge  Hull.  Thank  you.  Senator. 

Senator  KOHL.  We  thank  you.  Judge  Hull. 

Judge  Hull.  Thank  you,  Senator  Kohl. 

Senator  KOHL.  Our  next  nominee  is  Mary  Lisi,  who  has  been 
nominated  to  be  district  court  judge  for  the  District  of  Rhode  Is- 
land. 

Ms.  Lisi,  if  you  would  raise  your  right  hand,  do  you  swear  that 
the  testimony  you  shall  give  in  this  proceeding  shall  be  the  truth, 
the  whole  truth  and  nothing  but  the  truth,  so  help  you  God? 

Ms.  LiSL  I  do. 

Senator  KOHL.  We  thank  you.  You  may  be  seated,  and  if  you 
have  any  members  of  your  family  here,  we  would  love  to  meet 
them. 

TESTIMONY  OF  MARY  M.  LISI,  PROVIDENCE,  RI,  TO  BE  U.S. 
DISTRICT  JUDGE  FOR  THE  DISTRICT  OF  RHODE  ISLAND 

Ms.  LiSL  I  do.  I  am  very  happy  to  say  that  my  husband,  Stephen 
Reid,  is  here  with  our  two  children,  Jonathan,  who  is  13,  and  Jef- 
frey, who  celebrated  his  10th  birthday  2  days  ago,  along  with  my 
mother-in-law,  Eleanor  Reid.  I  have  some  friends  here,  also,  from 
the  State  of  Rhode  Island — Jason  Zaborsky,  who  is  a  student  at 
American  University,  and  also  Beth  Bailey  and  her  husband,  Bob 
Bailey. 


130 

QUESTIONING  BY  SENATOR  KOHL 

Senator  KOHL.  Well,  we  are  delighted  to  have  you  all  here  today. 

Ms.  Lisi,  your  questionnaire  indicates  that  you  have  served  as  an 
assistant  public  defender,  as  a  child  advocate,  and  most  recently  as 
chief  disciplinary  counsel.  If  confirmed,  how  do  you  plan  to  make 
the  transition  from  advocate  to  impartial  arbiter? 

Ms.  Lisi.  I  have  already  begun  to  think  along  those  lines.  Sen- 
ator Kohl,  in  terms  of  the  kinds  of  studying  that  I  will  need  to  do 
to  bring  myself  up  to  speed,  and  also  to  start  thinking  of  myself 
less  as  a  proponent  of  a  particular  position,  but  rather  as  an  arbi- 
ter of  disputes. 

Senator  Kohl.  All  right.  Why  do  you  want  this  job? 

Ms.  Lisi.  Senator,  my  entire  professional  career  has  been  dedi- 
cated to  public  service.  It  is  something  that  I  enjoy.  It  is  something 
that  I  have  given  a  great  deal  of  my  personal  energies  to  because 
I  receive  so  much  back  in  the  way  of  satisfaction.  I  can  think  of 
no  higher  honor  and  no  higher  aspiration  for  a  practicing  attorney 
than  to  serve  as  a  Federal  court  judge. 

Senator  Kohl.  Recently,  there  has  been  a  growing  concern  about 
violent  juvenile  crime  at  both  the  State  and  Federal  levels,  as  you 
know.  In  part,  as  a  response,  we  have  begun  to  see  a  trend  to  open 
more  juvenile  records,  as  adult  records  already  are.  As  a  one-time 
public  defender,  what  do  you  think  about  this  trend? 

Ms.  Lisi.  I  can  only  tell  you  my  own  experiences  in  the  juvenile 
area,  which  are  now  somewhat  aged  because  I  have  been  out  of 
that  system  for  several  years.  I  can  tell  you  that  when  I  started 
as  a  public  defender  in  1977  in  the  juvenile  division,  we  were  deal- 
ing with  children  who  were  committing  the  kinds  of  offenses  that 
one  would  almost  expect  to  see  in  the  juvenile  courts.  But  by  the 
time  I  ended  my  tenure  with  the  public  defender's  office,  we  were 
seeing  children  coming  in  at  much  younger  ages  committing  much 
more  serious  offenses. 

I  think  that  what  you  are  suggesting  as  far  as  looking  at  those 
records  is  very  important  in  order  for  us  to  understand  how  we  can 
work  with  those  individuals  who  have  committed  crimes  as  adults 
and  what  kinds  of  services  or  incarceration  may  be  necessary  in 
order  to  protect  the  public  from  them. 

Senator  KOHL.  You  pointed  to  the  fact,  and  I  alluded  to  it  also, 
that  we  have  an  increasingly  serious  problem  with  juvenile  crime 
in  our  society.  What  has  happened  in  our  society?  What  has  devel- 
oped over  the  last  decade  or  two  so  that  we  confront  this  today  as 
we  do? 

Ms.  Lisi.  Senator  Kohl,  one  of  the  things  I  did  as  a  public  de- 
fender in  representing  those  indigent  offenders  was  to  go  back  and 
find  out  who  they  were,  and  I  was  astounded  when  I  read  their 
case  files  which,  in  our  family  court,  included  not  only  the  offenses 
for  which  they  were  before  the  court,  but  also  the  cases  of  abuse 
which  had  been  brought  before  the  court  when  they  were  much, 
much  younger. 

That  is  when  I  changed  and  began  to  work  as  an  advocate  on  be- 
half of  abused  and  neglected  children  because  I  firmly  believe  that 
the  only  way,  or  perhaps  the  most  successful  way  that  we  can  work 
with  juvenile  offenders   is  to   reach  them   when  they  are  much 


131 

younger  and  to  reach  that  family  unit  before  it  becomes  so  dysfunc- 
tional that  any  amount  of  services  will  not  have  success. 

Senator  KOHL.  Are  you  saying  that  perhaps,  in  your  opinion,  the 
major  cause  of  some  of  these  problems  in  our  society  is  dysfunc- 
tional family  units,  as  opposed  and  contrasted  with  a  generation  or 
two  ago? 

Ms.  Lisi.  I  believe  so,  sir,  yes. 

Senator  Kohl.  All  right.  Ms.  Lisi,  what  would  you  do  when  faced 
with  a  first  circuit  precedent  that  controlled  a  matter  before  you 
but  with  which  you  personally  disagreed? 

Ms.  Lisi.  I  think  I  am  bound  to  set  aside  any  personal  feelings 
I  have  about  that  precedent  and  I  am  bound  to  apply  it. 

Senator  KOHL,  I  thank  you. 

Senator  Thurmond. 

QUESTIONING  BY  SENATOR  THURMOND 

Senator  Thurmond.  Thank  you,  Mr.  Chairman. 

I  notice  from  your  resume  you  are  with  the  Rhode  Island  Su- 
preme Court.  Now,  as  I  understand  it,  you  are  not  on  the  court, 
but  you  are  counsel  to  the  court,  is  that  correct? 

Ms.  Lisi.  I  am  the  chief  disciplinary  counsel  for  the  supreme 
court. 

Senator  Thurmond.  You  have  not  been  a  judge? 

Ms.  Lisi.  No,  sir. 

Senator  Thurmond.  You  don't  anticipate  any  trouble  in  the  tran- 
sition to  being  a  judge,  do  you? 

Ms.  Lisi.  No,  sir,  I  do  not. 

Senator  Thurmond.  The  phrase  "judicial  activism"  is  often  used 
to  describe  the  tendency  of  judges  to  make  decisions  on  issues  that 
are  not  properly  within  the  scope  of  their  authority.  What  does  the 
phrase  "judicial  activism"  mean  to  you? 

Ms.  Lisi.  I  think.  Senator  Thurmond,  that  the  description  that 
was  provided  to  us  in  the  questionnaire  probably  most  aptly  de- 
scribes what  judicial  activism  is,  and  if  you  have  my  questionnaire 
in  front  of  you,  you  know  that  my  feeling  is  that  a  Federal  court 
judge  is  bound  by  the  parameters  of  article  III  and  the  acts  of  this 
Congress. 

Senator  Thurmond.  Sometimes,  judges  don't  agree  with  the  law 
in  some  respects,  and  you  can  understand  that,  and  they  attempt 
to  assert  their  own  opinions.  How  do  you  feel  about  that?  Congress 
is  the  one  that  has  to  change  the  law  and  not  the  judges.  Are  you 
in  accord  with  that? 

Ms.  Lisi.  I  am,  sir. 

Senator  Thurmond.  Thank  you.  I  wish  you  well  on  the  bench. 

Ms.  Lisi.  Thank  you  very  much. 

Senator  KOHL.  Thank  you,  Senator  Thurmond.  Thank  you  very 
much,  Ms.  Lisi. 

Our  final  nominee  today  is  Judge  Louis  Sands.  He  has  been  nom- 
inated to  be  district  court  judge  for  the  Middle  District  of  Georgia. 

Judge  Sands,  if  you  would  raise  your  right  hand,  do  you  swear 
that  the  testimony  you  shall  give  in  this  proceeding  shall  be  the 
truth,  the  whole  truth  and  nothing  but  the  truth,  so  help  you  Gk)d? 

Judge  Sands.  I  do. 


132 

Senator  KoHL.  Thank  you,  sir.  We  would  be  delighted  to  meet 
members  of  your  family  if  they  are  with  you. 

TESTIMONY  OF  W.  LOUIS  SANDS,  MACON,  GA,  TO  BE  U.S. 
DISTRICT  JUDGE  FOR  THE  MIDDLE  DISTRICT  OF  GEORGIA 

Judge  Sands.  Thank  you  very  much,  Senator.  First  of  all,  I  have 
with  me  my  wife,  Carla  Heath  Sands,  and  she  is  holding  our 
youngest,  Billye  Louise  Sands,  who,  for  the  benefit  of  the  decorum 
of  this  body,  it  is  probably  best  that  she  is  asleep  now.  I  also  have 
my  daughter,  Angela  Sands,  who  will  be  a  student  at  Georgetown 
University  Law  School  later  this  year,  and  my  son.  Walker  Louis 
Sands;  my  mother-in-law,  Ms.  Martha  Johnson;  my  law  clerk,  Vic- 
toria Spear;  and  also  a  family  friend,  Tina  Valdecanas. 

Thank  you  very  much,  Senator. 

QUESTIONING  BY  SENATOR  KOHL 

Senator  KOHL.  Well,  we  thank  you  all  for  coming  here  today.  It 
is  a  pleasure  to  have  you. 

Judge  Sands,  in  recent  years  much  has  been  said  about  Federal 
courts'  increasing  caseloads  and  the  resulting  problem  of  docket 
backlog.  This  backlog  has  had  an  adverse  effect  on  the  litigants  be- 
fore the  court,  who  have  been  forced  to  suffer  at  least  some,  if  not 
significant  delay  in  the  resolution  of  their  claims. 

If  confirmed,  what  steps  would  you  take  to  ensure  that  your 
docket  progresses  as  quickly  as  possible? 

Judge  Sands.  Well,  Senator,  that,  of  course,  has  been  a  very 
great  difficulty  not  only  for  the  Federal  courts,  but  it  has  been  a 
challenge  for  the  State  courts,  such  as  the  one  that  I  serve  on,  and 
it  is  a  problem  we  constantly  look  at.  I  would  expect  to  do  the  same 
on  the  Federal  bench,  if  confirmed,  as  I  have  tried  to  do  as  a  State 
court  judge;  that  is,  to  look  first  to  any  means  that  may  have  al- 
ready been  set  up  or  may  have  been  suggested  by  others,  but  I  be- 
lieve, for  the  Federal  courts,  one  has  to  make  good  use  of  the  mag- 
istrates. In  the  circuit  where  I  live,  we  happen  to  have  some  very 
able  magistrates. 

Also,  there  is  some  discussion  about  other  means,  such  as  arbi- 
tration or  matters  through  which  litigants  can  be  referred.  But  I 
believe  it  is  a  matter  that  has  to  be  constantly  reviewed,  any  of 
those  types  of  suggestions.  One  of  the  first  things  that  I  would  do, 
of  course,  would  be  to  consult  with  the  persons  already  on  our  local 
bench,  but  I  would  be  open  to  any  suggestions  and  again  would  use 
those  type  of  reviews  and  new  techniques  that  we  would  come  up 
with,  as  we  have  done  on  the  State  bench. 

Senator  KOHL.  All  right.  I  would  like  to  ask  you  a  question  I 
asked  one  of  the  previous  nominees,  and  that  is  about  court  secrecy 
orders.  As  you  know,  there  is  a  growing  tendency  to  allow  court  se- 
crecy orders  to  stand.  I  have  a  bill  which  would  make  a  judge,  by 
requirement,  not  allow  any  court  secrecy  agreement  that  endangers 
public  health  and  safety.  In  other  words,  if  there  is  a  defective 
automobile,  of  which  there  may  be  5  or  10,000  defective  auto- 
mobiles, and  one  person  has  an  accident  and  comes  to  court  and 
is  prepared  to  accept  a  settlement,  provided  it  is  kept  secret,  that 
person  would  not  be  allowed  to  do  it.  The  judge  would  have  to  rule 
that  there  is  a  public  health  and  safety  issue.  There  may  be  10,000, 


133 

or  20,000,  or  30,000  people  who  need  to  know  about  this  defective 
automobile,  so  we  cannot  allow  this  judgment  to  be  made  secret. 
How  do  you  feel  about  that? 

Judge  Sands.  Well,  Senator,  I  am  not  specifically  familiar  with 
what  you  are  referring  to,  the  bill  that  you  are  referring  to,  but  I 
think  I  understand  to  what  you  refer  by  your  description. 

Senator  KoHL.  I  tried  to  explain  it,  yes. 

Judge  Sands.  Yes;  by  your  description,  I  do  understand. 

Senator  KOHL.  Right. 

Judge  Sands.  First  of  all,  I  understand  that  there  is  a  very  dif- 
ficult balancing  to  take  place  by  what  you  suggest.  I  believe,  of 
course,  that  the  courts  are  public.  They  are  provided  for  us  to  have 
litigation  there  so  that  anyone  who  wishes  to  observe  may  do  so. 
But  I  am  also  aware,  on  the  other  hand,  that  there  are  certain 
matters  that  are  so  strictly  private,  some  things  as  we  have  had 
in  the  past  in  criminal  cases  that  are  maybe  an  endangerment.  So 
I  believe,  on  the  other  hand,  or  the  other  side,  there  are  matters 
that  might  need  to  be  considered  closed,  possibly. 

Senator  KoHL.  Well,  now,  there  is  the  opportunity  today  for  a 
judge — ^no  requirement,  but  the  opportunity  today  for  a  judge  to  set 
aside  any  secret  arrangement  if,  in  his  judgment  or  her  judgment, 
it  violates  public  health  and  safety.  What  would  you  do  in  the  case 
of  a  defective  automobile  that  had  caused  a  death  and  the  plaintiff 
was  offered  a  considerable  settlement,  provided  that  he  was  willing 
to  keep  it  secret,  and  he  was  willing  to  do  it  and  the  defendant 
wanted  to  do  it,  and  you  had,  as  you  would  have,  the  opportunity, 
but  not  the  requirement,  to  set  that  secrecy  order  aside  in  the  in- 
terests of  the  larger  public  health  and  safety  of  our  country?  What 
would  you  do? 

Judge  Sands.  Senator,  first  of  all,  of  course,  I  would  not  like  to 
right  here  prejudge  how  I  would  do  it  in  that  particular  case,  but 
I  certainly  would  listen  to  all  of  the  facts,  take  into  consideration 
all  of  the  circumstances  on  both  sides  of  the  case,  as  I  have  tried 
to  do  in  all  cases  in  the  past,  and  make  a  decision  which  I  believed 
was  fair  and  consistent  with  the  public  interest,  as  well  as  to  abide 
fully  with  whatever  law  did  apply. 

Senator  KOHL.  Finally,  do  you  believe  that  pro  bono  work  is  a 
good  thing  in  our  society,  a  necessary  thing  in  our  society?  Do  you 
think  we  ought  to  make  it,  second,  obligatory  on  the  part  of  law- 
yers, particularly  young  lawyers  as  they  are  coming  up  in  their 
communities? 

Judge  Sands.  I  think  it  is  very  important  to  our  society  that  law- 
yers provide  service  pro  bono.  I  had  the  honor  and  privilege  of 
being  the  president  of  our  local  bar,  and  at  various  times  in  our 
court  to  this  day  as  new  lawyers  come  aboard,  we  have  a  short 
ceremony  where  they  come  before  the  bench  and  I  have  tried  to 
emphasize  on  each  of  those  occasions  to  the  new  lawyers  how  im- 
portant it  is  not  only  to  exercise  the  privilege  of  earning  a  living 
by  practicing  law,  but  also  to  return  something  to  the  community, 
to  give  something  back.  So  I  have  tried  to  do  it  in  that  manner. 

I  believe  somehow,  if  we  were  to  make  it  absolutely  mandatory, 
though,  I  think  it  would  take  away  the  very  voluntary  nature  of 
it.  I  believe  it  would  be  something  that  should  definitely  be  encour- 
aged, but  I  doubt  that  we  would  get  the  full  benefit  of  it  if  we  made 


134 

it  strictly  mandatory,  but  definitely  something  we  should  encourage 

fully. 

Senator  KOHL.  I  thank  you  very  much. 
Senator  Thurmond. 

QUESTIONING  BY  SENATOR  THURMOND 

Senator  THURMOND.  Thank  you. 

I  notice  you  graduated  from  the  Walter  George  School  of  Law  in 
Macon,  GA. 

Judge  Sands.  I  did,  sir. 

Senator  Thurmond.  I  spoke  there  several  years  ago.  I  don't 
guess  you  were  a  student  at  that  time,  were  you? 

Judge  Sands.  I  was  a  student  there.  Senator,  from  1971  to  1974. 

Senator  Thurmond.  I  have  forgotten  now  what  year  I  spoke 
there,  but  I 

Judge  Sands.  I  would  have  seen  you.  Senator.  I  don't  believe  I 
was  there  at  that  time  because  certainly  I  would  have  attended. 

Senator  Thurmond.  I  was  very  much  impressed  with  that  school, 
though.  I  think  it  is  a  good  school. 

Judge  Sands.  Thank  you  very  much. 

Senator  Thurmond.  The  American  Bar  Association  in  consider- 
ing judges  for  the  Supreme  Court  especially  consider,  first,  integ- 
rity. Have  you  ever  been  arrested  for  any  crime? 

Judge  Sands.  No,  I  have  not.  Senator,  fortunately. 

Senator  Thurmond.  They  consider  judicial  temperament.  You 
heard  me  talk  a  few  moments  ago  about  temperament  of  a  judge, 
that  he  ought  to  always  be  courteous  and  be  calm  and  control  him- 
self Do  you  agree  with  that? 

Judge  Sands.  Yes,  I  do,  Senator.  It  is  very  important.  I  believe, 
as  you  stated,  the  greater  the  power  a  person  has,  the  more  hum- 
bleness they  should  show. 

Senator  Thurmond.  That  is  right.  The  other  thing  was  profes- 
sionalism. I  think  you  have  the  professionalism  here.  Having  grad- 
uated from  the  Walter  F.  George  School  of  Law,  your  education 
qualifies  you  there.  You  have  had  considerable  experience  in  var- 
ious ways.  I  notice  you  were  with  the  Army  Reserve  in  the  Signal 
Corps. 

Judge  Sands.  Yes,  I  was. 

Senator  Thurmond.  What  was  your  rank  then? 

Judge  Sands.  I  was  commissioned  when  I  graduated  from  college 
as  a  second  lieutenant  and  I  later  attained  the  rank  of  first  lieuten- 
ant when  I  went  into  active  duty,  and  at  the  time  I  resigned  my 
commission  I  was  at  the  rank  of  captain. 
Senator  Thurmond.  Do  you  still  hold  that  rank? 
Judge  Sands.  No;  I  resigned  the  commission  several  years  ago. 

Senator 

Senator  THURMOND.  I  see. 

Judge  Sands  [continuing].  After  completing  my  required  service 

time. 

Senator  Thurmond.  I  notice  you  are  a  superior  court  judge  in 

Georgia. 
Judge  Sands.  That  is  correct,  sir. 


135 

Senator  Thurmond.  I  was  a  circuit  court  judge  in  South  Caro- 
lina. I  believe  that  is  the  same  kind  of  judge,  the  highest  trial  court 
in  the  State. 

Judge  Sands.  It  is,  yes,  sir. 

Senator  Thurmond.  We  call  them  circuit  courts  and  you  call 
them  superior  courts,  I  believe.  In  New  York,  they  call  them  supe- 
rior courts,  too. 

Now,  this  will  be  a  trial  court  you  are  going  on  here,  the  district 
court,  so  it  will  be  similar  type  work.  It  will  just  be  in  the  Federal 
court  rather  than  the  State  court. 

Judge  Sands.  Yes,  sir. 

Senator  Thurmond.  So  you  don't  anticipate  any  trouble  there  in 
making  that  transition,  do  you? 

Judge  Sands.  I  do  not.  Senator. 

Senator  Thurmond.  I  think  you  have  got  a  good  record.  I  wish 
you  well  on  the  bench. 

Judge  Sands.  Thank  you  very  much. 

Senator  Thurmond.  I  wanted  to  mention  one  more  thing  to  you. 
I  want  to  note  for  the  record  that  you  are  a  member  of  a  club,  the 
Homosophian  Civic  Club  of  Macon. 

Judge  Sands.  Yes,  I  am,  sir. 

Senator  Thurmond.  At  least  as  of  2  months  ago,  it  had  never 
had  a  female  member  in  its  history,  had  it? 

Judge  Sands.  That  is  correct,  I  believe.  Senator. 

Senator  Thurmond.  I  just  wanted  to  add  that  you  are  hardly 
unique  in  this  respect.  Many  of  the  Clinton  judicial  nominees  have 
had  similar  club  issues,  but  I  must  observe  that  in  the  days  when 
the  Republicans  controlled  the  Senate  and  were  making  nomina- 
tions, there  would  have  been  an  objection  to  them  because  they  be- 
longed to  a  club  that  didn't  have  minorities  or  didn't  have  women. 
But  you  are  not  responsible  for  that,  are  you? 

Judge  Sands.  I  am  not.  In  fact.  Senator,  there  is  a  woman  mem- 
ber of  the  club  and  I  believe  I  was  one  of  the  persons  who  encour- 
aged that  membership. 

Senator  Thurmond.  I  think  some  of  the  Democrats  went  too  far 
in  raising  a  point  about  these  memberships  in  clubs,  so  long  as 
they  are  fair  and  just.  Anyway,  I  just  wanted  to  make  the  point 
there  that  I  hope  there  won't  be  a  double  standard  when  Repub- 
licans get  back  in  control  and  it  will  be  the  same  standard  as  the 
Democrats  use. 

Judge  Sands.  Yes,  sir. 

Senator  Thurmond.  Thank  you  very  much. 

Senator  KOHL.  All  right.  Well,  that  is  not  going  to  be  very  soon. 
[Laughter,] 

But  I  wanted  to  say  this,  and  I  was  going  to  say  this  before  you 
made  your  remarks.  I  am  really  honored  to  be  sitting  on  the  same 
panel  with  you,  and  I  think  everybody  here  today  feels  very  special 
about  having  you  in  our  presence. 

Senator  Thurmond.  Thank  you.  Well,  I  want  to  commend  you  for 
presiding  over  these  hearings.  You  do  it  quickly,  you  do  it  effi- 
ciently, and  we  save  a  lot  of  time.  Some  of  these  presiding  officers 
take  too  long.  You  do  a  good  job.  [Laughter.] 

Senator  KOHL.  Judge  Sands? 


136 

Judge  Sands.  Senator,  not  to  extend  these  hearings,  but  I  would 
be  remiss  if  I  failed  to  mention  a  law  professor.  When  Senator 
Thurmond  mentioned  Mercer's  Walter  F.  George  School  of  Law — 
I  have  the  great  fortune  of  having  a  professor  here  who  was  for- 
merly of  that  school,  Ms.  Leah  F.  Chanin,  who  is  also  present,  and 
I  would  like  for  her  to  stand. 

[Ms.  Chanin  stood.] 

Senator  Kohl.  Thank  you  very  much. 

We  thank  you  all  for  being  here  today. 

Senator  Thurmond.  I  would  like  to  shake  hands  with  you  nomi- 
nees, if  you  will  come  around  here  in  just  a  minute  as  I  come  down 
there  before  we  leave. 

Senator  KOHL.  All  right.  These  hearings  are  closed. 

[Whereupon,  at  4:03  p.m.,  the  committee  was  adjourned.] 

[Submissions  for  the  record  follow:] 


137 


SUBMISSIONS  FOR  THE  RECORD 


I.  BIOGRAPHICAL  INFORMATION  (PUBLIC) 

1.    Full  name  (include  any  former  names  used.) 
Carl  Edmond  Stewart 


Address:    List   current   place  of   residence   and  office 
address(es) . 

Home:    6805  Snowmass  Street 

Shreveport,  Louisiana  1'.  119 

Office:  430  Fannin  Street 

Shreveport,  Louisiana   71101 


Date  and  place  of  birth. 

January  2,  1950 
Shreveport,  Louisiana 


Marital  Status  (include  maiden  name  of  wife,  or  husband's 
name).  List  spouse's  occupation,  employer's  name  and 
business  address(es). 

Spouse:    Jo  Ann  Southall  Stewart 

Drug  Intervention  Coordinator 

Caddo  Parish  School  Board 

1961  Midway  Street 

Shreveport,  Louisiana   71130-2000 


Education:  List  each  college  and  law  school  you  have 
attended,  including  dates  of  attendance,  degrees  received 
and  dates  degrees  were  granted. 

Loyola  University  School  of  Law,  New  Orleans,  Louisiana 
September  1971  -  May  1974 
Juris  Doctor  of  Law  Degree,  1974 

Dillard  University,  New  Orleans,  Louisiana 
September  1967  -  May  1971 
Bachelor  of  Arts  Degree  in  Psychology 
Magna  Cum  Laude,  1971 


-  CES  1  - 


138 


5.  Rmplovment-  Record:  List  (by  year)  all  business  or 
professional  corporations,  companies,  firms,  or  other 
enterprises,  partnerships,  institutions  and  organizations, 
nonprofit  or  otherwise,  including  firms,  with  which  you 
were  connected  as  an  officer,  director,  partner, 
proprietor,  or  employee  since  graduation  from  college. 

Part-time  Initial  Action  Unit,  Nighttime  Claims  Handler, 

Allstate   Insurance   Company,   Metairie,    Louisiana, 
1972-1974 

Trial  Defense  Counsel  and  Legal  Assistance  Attorney, 

Office  of  the  Staff  Judge  Advocate,  United  States 
Army,  Fort  Sam  Houston,  Texas,  1974-1977 

Associate  Attorney,  Piper  &  Brown  Law  Firm,  Shreveport, 
Louisiana,  October  1977-January  1978 

Staff  Attorney,  Louisiana  Attorney  General's  Office, 
Shreveport,  Louisiana,  January  1978-April  1979 

Assistant  United  States  Attorney,  Western  District  of 
Louisiana,  Shreveport,  Louisiana,  April  1979- 
November  1983 

Partner,  Stewart  &  Dixon,  A  Professional  Law  Corporation, 
November  1983-April  1985 

Special  Assistant  District  Attorney  and  Assistant 
Shreveport  City  Prosecutor,  1983-1985 

Adjunct  Instructor,  Louisiana  State  University-Shreveport, 
College  of   Business,   Department   of  Management   and 
Marketing,  Spring  1982-Spring  1985 

District  Judge,  First  Judicial  District  Court,  Division  D, 
State  of  Louisiana,  April  1985-February  1991 

Judge,  Second  Circuit  Court  of  Appeal,  State  of  Louisiana, 
February  1991-Present 

7.  Military  Service:  Have  you  had  any  military  service?  If 
so,  give  particulars,  including  the  dates,  branch  of 
service,  rank  or  rate,  serial  number  and  type  of  discharge 
received. 

Yes. 

October  1974  -  October  1977 

Captain,  U.S.  Array  Judge  Advocate  General's  Corps 

Fort  Sam  Houston,  Texas 

437-86-7477 

Honorable  Discharge 


-  CES  2  - 


139 


8.  Honors  and  Awards:  List  any  scholarships,  fellowships, 
honorary  degrees,  and  honorary  society  memberships  that  you 
believe  would  be  of  interest  to  the  Committee. 

Charter  Member  and  Team  Leader,  Harry  V.  Booth  Chapter, 
American  Inns  of  Court,  Shreveport,  Louisiana 

9.  Bar  Associations;  List  all  bar  associations,  legal  or 
judicial-related  committees  or  conferences  of  which  you  are 
or  have  been  a  member  and  give  the  titles  and  dates  of  any 
offices  which  you  have  held  in  such  groups.  The  following 
memberships  are  current: 

The  American  Bar  Association  and  Judicial  Administration 
Division 

The  National  Bar  Association  and  Judicial  Council 

The  Louisiana  State  Bar  Association 

The   Harry   V.   Booth   Chapter,   American   Inns   of   Court, 
Shreveport,  Louisiana  (Charter  Member) 

The  Black  Lawyers  Association  of  Shreveport-Bossier 

The  Louisiana  Conference  of  Court  of  Appeal  Judges 

The   Louisiana   State   Bar   Association   Bench/Bar   Liaison 
Committee 

10.  Other Memberships:    List   all   organizations   to  which  you 

belong  that  are  active  in  lobbying  before  public  bodies. 

None. 

Please  list  all  other  organizations  to  which  you  belong. 

FORMER  BOARD  OF  DIRECTOR  MEMBERSHIPS 

Caddo-Bossier  Community  Council,  1981-1985 

Carver  Branch  YMCA,  1981-1987 

HAP  House  Multi-Disability  Work  Center,  1981-1987 

Boys  Club  of  Shreveport-Bossier,  1982-1985 


-  CES  3  - 


140 


Goodwill  Industries  of  Horthwest  Louisiana,  1983-1987 

Salvation  Army  Advisory  Board,  1983-1986 

Northwest  Louisiana  Sickle  Cell  Anemia  Foundation,  1985-1987 

Northwest  Louisiana  Family  Crisis  Center,  1986-1987 

KDAQ  Public  Radio  Station  Community  Advisory  Board,  1986-1987 

Shreveport  Opera,  1986-1988 

Shreveport-Bossier  Metropolitan  YMCA,  1985-1989 

American  Red  Cross,  1987-1989 

Northwest  Louisiana  Biomedical  Research  Foundation 
(Charter  Officer),  1985-1988 

Shreveport  Chamber  of  Commerce,  1985-1988 

MEMBERSHIPS  IN  CIVIC  AND  COMMUNITY  ORGANIZATIONS 

Shreveport  Chamber  of  Commerce-Leadership  Council,  (Chairman, 
1985-1986) 

National  Association  for  the  Advancement  of  Colored  People, 
1988-Present 

Louisiana  State  Dniversity-Shreveport  Chancellor's  Advisory 
Board,  1983-1989,  (Chairman,  1988-1989) 

Ark-La-Tex  Ambassadors  Club,  1990-Present 

Shreveport  Chamber  of  Commerce,  Military  Affairs  Council, 
1992-Present 

Omega  Psi  Phi  Fraternity,  Inc.,  Rho  Omega  Chapter,  (Basileus, 
1983-1985) 

Omega  Psi  Phi  Fraternity,  Inc.,  Rho  Omega  Chapter,  Achievement 
Week  Committee  (Chairman,  1992-1994) 

Dillard  University,  Friends  of  Louisiana  Association  of 
Independent  Colleges  and  Universities,  New  Orleans, 
Louisiana,  (Representative,  1988-1989) 

Dillard  University  Alumni  Association,  New  Orleans,  Louisiana 
(Parliamentarian,  1992) 

Loyola  University  School  of  Law  Visiting  Committee, 
New  Orleans,  Louisiana,  1988-1989 

YMCA  Black  Achievers  Program  Steering  Committee,  1990 

-  CES  4  - 


141 


BOARD  MEMBERSHIPS 

National  Member  at  Large,  Boy  Scouts  of  America,  National 
Council,  1986-Present 

Norwela  Council  Boy  Scouts  of  America,  (Treasurer,  1987-1988, 
Vice  President  for  Membership  1990-1993,  Council  President 
1993-Present) 

National  Member,  Urban  Field  Services  Committee,  Boy  Scouts  of 
America,  Dallas,  Texas,  1992-Present 

Lighthouse  Educational  Enrichment  Program,  1987-Present 

Advisory  Board,  Links  Inc.,  Project  LEAD  High  Expectations, 
1992-Present 

Volunteers  of  America  of  Northwest  Louisiana,  1991-Present 

Dovmtown  Shreveport  Development  Corporation,  1990-Present 

Grambling  State  University,  Dr.  Martin  Luther  King,  Jr. 

Criminal  Justice  Center,  Grambling,  Louisiana,  1992-Present 

Trustee,  Centenary  College  of  Louisiana,  Shreveport,  Louisiana, 
1992-Present 


Court  Admission.  List  all  courts  in  which  you  have  been 
admitted  to  practice,  with  dates  of  admission  and  lapses  if  any 
such  memberships  lapsed.  Please  explain  the  reason  for  any 
lapse  of  membership.  Give  the  same  information  for 
administration  bodies  which  require  special  admission  to 
practice. 

The  Supreme  Court  of  the  State  of  Louisiana 
October  2,  1974 

The  United  States  Court  of  Military  Appeals 
December  13,  1974 

The  United  States  District  Court  for  the  Western  District  of 
Louisiana 

January  3,  1978 

The  United  States  Fifth  Circuit  Court  of  Appeals 
February  2,  1979 

The  United  States  Supreme  Court 
June  30,  1980 


-  CES  5  - 


142 


12.  Published  Writings:  List  the  titles,  publishers,  and  dates  of 
books,  articles,  reports,  or  other  published  material  you  have 
written  or  edited.  Please  supply  one  copy  of  all  published 
material  not  readily  available  to  the  Committee.  Also,  please 
supply  a  copy  of  all  speeches  by  you  on  issues  involving 
constitutional  law  or  legal  policy.  If  there  were  press 
reports  about  the  speech,  and  they  are  readily  available  to 
you,  please  supply  them. 

None. 

13.  Health:  What  is  the  present  state  of  your  health?  List 
the  date  of  your  last  physical  examination. 

Good.   September  30,  1993. 

14.  Judicial  Office:  State  (chronologically)  any  judicial 
offices  you  have  held,  whether  such  position  was  elected 
or  appointed,  and  a  description  of  the  jurisdiction  of 
each  such  court. 

Elected  District  Judge,  First  Judicial  District 
Court,  Division  D,  State  of  Louisiana,  April  22, 
1985-February  15,  1991.  The  district  court 
encompasses  Caddo  Parish  (county)  and  is  a  general 
jurisdiction  court  for  all  civil  and  criminal  cases 
except  municipal  traffic  offenses  and  juvenile  cases. 

Elected  Judge,  Second  Circuit  Court  of  Appeal,  State 
of  Louisiana,  February  15,  1991-Present.  The  Second 
Circuit  is  one  of  five  intermediate  appellate  courts 
in  Louisiana  and  consists  of  nine  judges.  Pursuant  to 
the  Louisiana  Constitution,  a  court  of  appeal  has 
appellate  jurisdiction  of  (1)  all  civil  matters, 
including  direct  review  of  administrative  agency 
determinations  of  workers*  compensation  matters,  (2) 
all  matters  appealed  from  family  and  juvenile  courts, 
and  (3)  all  criminal  cases  triaJ le  by  a  jury  except  in 
capital  cases  where  a  penalty  of  death  has  actually 
been  imposed.  It  has  supervisory  jurisdiction  over 
cases  which  arise  within  its  circuit. 

15.  Citations :  If  you  are  or  have  been  a  judge,  provide:  (1) 
citations  for  the  ten  most  significant  opinions  you  have 
written;  (2)  a  short  summary  of  and  citations  for  all 
appellate  opinions  where  your  decisions  were  reversed  or 
where  your  judgment  was  affirmed  with  significant 
criticism  of  your  substantive  or  procedural  rulings;  and 
(3)  citations  for  significant  opinions  on  federal  or  state 
constitutional  issues,  together  with  the  citation  to 
appellate  court  rulings  on  such  opinions.  If  any  of  the 
opinions  listed  were  not  officially  reported,  please 
provide  copies  of  the  opinions. 

-  CES  6  - 


143 


(1)  citations  for  the  ten  most  significant  opinions  you 
have  written: 

Ten  Most  Significant  Opinions 

1.  McCrary  v.  Park  South  Properties.  Inc..  trial  court 
opinion  attached;  affirmed  on  appeal,  560  So. 2d  38  (La. 
App.  2d  Cir,  1990),  writ  denied,  563  So. 2d  1156  (La.  1990). 

2.  State  V.  Lobato.  588  So. 2d  1378  (La.  App.  2d  Cir.  1991), 
affirmed,  603  So. 2d  739  (La.  1992). 

3.  Aldredoe  v.  Whitney.  591  So. 2d  1201  (La.  App.  2d  Cir. 
1991). 

4.  Howard  v.  Howard.  580  So. 2d  696  (La.  App.  2d  Cir.  1991). 

5.  Coffin  V.  The  Board  of  Supervisors  of  Louisiana  State 
University  Agricultural  &  Mechanical  College.  620  So. 2d 
1354  (La.  App.  2d  Cir.  1993). 

6.  State  V.  Gay.  616  So. 2d  1290  (La.  App.  2d  Cir.  1993). 

7.  Atkins  v.  Atkins.  623  So. 2d  239  (La.  App.  2d  Cir.  1993). 

8.  In  Ret  JWR  &  RKR.  607  So. 2d  634  (La.  App.  2d  Cir.  1992), 
writ  denied,  607  So. 2d  571  (La.  1992). 

9-  First  Downtown  Development  Corp.  v.  Cimochowski .  613  So. 2d 
671  (La.  App.  2d  Cir.  1993),  writ  denied,  615  So. 2d  340 
(La.  1993). 

10.   Soderouist  v.  Kramer.  595  So. 2d  825  (La.  App.  2d  Cir. 
1992). 

(2)  a  short  summary  of  and  citations  for  all  appellate 
opinions  where  your  decisions  were  reversed  or  where  your 
judgment  was  affirmed  with  significant  criticism  of  your 
substantive  or  procedural  rulings: 

1. 

Massev  V.  G.B.  Coolev  Hospital  For  Retarded  Citizens.  593 
So. 2d  460  (La.  App.  2d  Cir.  1992),  set  aside/remanded  616 
So. 2d  1242  (La.  1993).  Plaintiff  petitioned  for  damages 
against  his  employer  alleging  that  he  was  wrongfully 
terminated  and  that  the  employer  made  defamatory 
statements  about  him  during  the  grievance  procedure  after 
termination.  Defendants  filed  an  exception  of  no  cause  of 
action.  The  trial  court  maintained  the  exception  as  to 
allegations  of  wrongful   termination  of  employment   and 


CES  7 


144 


intentional  infliction  of  emotional  distress,  but 
overruled  the  exception  and  found  a  cause  of  action  for 
defamation.  The  court  of  appeal  affirmed.  The  Louisiana 
Supreme  Court  set  aside  the  judgments  of  the  lower  courts 
and  remanded  the  case  to  the  trial  court  to  reconsider  the 
exception  in  light  of  its  recent  detailed  analysis  of 
whether  a  court  may  render  a  judgment  which  partially 
maintains  an  exception  of  no  cause  of  action  when  the 
judgment  adjudicates  less  than  all  of  the  claims  asserted 
against  the  excepting  party. 


White  V.  West  Carroll  Hospital.  598  So. 2d  1134,  (La. 
App.  2d  Cir.  1992),  vacated  613  So. 2d  150  (La.  1992). 
Presented  with  whether  the  court  of  appeal  may  consider  a 
prior  suit  which  was  not  introduced  into  evidence  at  a 
prescription  hearing,  the  appellate  court  found  that  the 
prior  suit  was  not  part  of  the  appellate  record  and 
refused  to  supplement  the  record  on  appeal  or  to  grant 
plaintiffs'  request  to  remand  the  case  to  the  trial  court 
to  supplement  the  record.  The  Louisiana  Supreme  Court 
found  that  the  court  of  appeal  was  correct  in  refusing  to 
supplement  the  record  on  appeal,  but  found  it  appropriate 
to  remand  the  case  to  the  trial  court  to  include  evidence 
of  the  prior  suit  and  to  reexamine  the  issue  of 
prescription  in  light  of  the  prior  suit.  Accordingly,  the 
Louisiana  Supreme  Court  vacated  and  set  aside  the  judgment 
of  the  court  of  appeal  which  affirmed  the  trial  court's 
grant  of  the  exception  of  prescription,  and  remanded  the 
case  to  the  trial  court  for  further  proceedings. 


Taylor  v.  Giddens.  607  So. 2d  878  (La.  App.  2d  Cir. 
1992),  affirmed  in  part,  reversed  in  part,  and  remanded, 
618  So. 2d  834  (La.  1993).  The  court  of  appeal  determined 
that  the  language  of  LSA-R.S.  9:5628,  Louisiana's  medical 
malpractice  prescription  statute,  is  unambiguous  and 
provides  no  exception  for  wrongful  death  and/or  survival 
actions  which  arise  from  medical  malpractice.  The 
Louisiana  Supreme  Court  determined  that  a  wrongful  death 
action  is  separate  and  distinct  from  a  malpractice  action 
and,  thus,  is  not  governed  by  LSA-R.S.  9:5628.  However, 
the  survival  action  is  controlled  by  the  prescriptive 
periods  set  forth  in  LSA-R.S.  9:5628.  Therefore,  the 
judgment  which  sustained  the  peremptory  exceptions  of 
prescription  was  affirmed  as  to  the  survival  action  and 
reversed  as  to  the  wrongful  death  accion,  and  the  case  was 
remanded  for  further  proceedings. 


CES  8  - 


145 


4. 

State  V.  Atkins.  607  So. 2d  875  (La.  App.  2d  Cir. 
1992),  remanded,  613  So. 2d  164  (La.  1993),  on  remand  621 
So. 2d  656  (La.  App.  2d  Cir.  1993).  The  district  attorney 
obtained  bond  forfeiture  judgments  against  a  bondsman  and 
seized  funds  from  the  bondsman's  savings  account.  The 
bondsman  petitioned  to  nullify  the  bond  forfeiture 
judgments,  asserting  that  the  state  failed  to  give  him 
proper  notices  of  appearance  dates  and  of  the  forfeiture 
judgments.  The  trial  court  found  that  all  notices  were 
properly  sent,  and  the  court  of  appeal  affirmed.  The 
Louisiana  Supreme  Court  criticized  the  court  of  appeal's 
reference  in  dicta  to  a  statute  which  became  effective 
after  the  bond  forfeitures  occurred,  and  remanded  the  case 
to  the  appellate  court  for  reconsideration.  On  remand, 
the  court  of  appeal  again  affirmed  the  trial  court 
judgment. 

5. 

State  V.  Otis.  586  So. 2d  595,  (La.  App.  2d  Cir.  1991), 
writ  granted  in  part  and  remanded,  589  So.  2d  487  (La. 
1991),  on  remand,  592  So. 2d  1  (La.  App.  2d  Cir.  1991). 
Defendant  appealed  his  convictions  for  one  count  of 
manslaughter  and  two  counts  of  atteirpted  manslaughter.  He 
also  appealed  his  sentences,  as  an  habitual  offender,  to 
25  years  hard  labor  on  the  manslaughter  conviction  and  12 
1/2  years  hard  labor  on  each  of  the  attempted  manslaughter 
convictions,  all  of  which  were  to  run  concurrently.  The 
court  of  appeal  affirmed  defendant's  convictions  and 
sentences.  The  Louisiana  Supreme  Court  granted  writs,  in 
part,  and  remanded  the  case  for  the 
appellate  court  to  reconsider  defendant's  claim  of 
ezcessiveness  of  sentence  because  defendant  was  sentenced 
as  a  multiple  offender  on  all  three  counts,  despite  the 
fact  that  his  convictions  were  entered  on  the  same  day  and 
involved  offenses  committed  in  a  single  criminal  act  or 
episode.  On  remand,  the  court  of  cppeal  determined  that 
the  three  convictions  must  be  considered  as  one 
conviction,  for  the  purposes  of  enhancement  under  the 
habitual  offender  bill,  because  they  arose  from  a  single 
criminal  episode.  Accordingly,  the  sentences  were  vacated 
and  the  case  remanded  to  the  trial  court  for  resentencing 
on  all  three  convictions,  with  adjudication  and  sentencing 
as  a  habitual  offender  on  only  one  of  the  convictions. 

(3)  citations  for  significant  opinions  on  federal  or  state 
constitutional  issues,  together  with  the  citation  to 
appellate  court  rulings  on  such  opinions. 

Hot  applicable. 


-  CES  9  - 


146 


16.  Public  Office;  State  (chronologically)  any  public  offices 
you  have  held,  other  than  judicial  offices,  including  the 
terms  of  service  and  whether  such  positions  were  elected  or 
appointed.  State  (chronologically)  any  unsuccessful 
candidacies  for  elective  public  office. 

None. 


17.   Legal  Career; 

a.   Describe  chronologically  your  la/  practice  and  experience 
after  graduation  from  law  school  including: 

1.  whether  you  served  as  clerk  to  a  judge,  and  if  so, 
the  name  of  the  judge,  the  court,  and  the  dates  of 
the  period  you  were  a  clerk; 

Ho. 

2.  whether  you  practiced  alone,  and  if  so,  the  addresses 
and  dates; 

No. 

3.  the  dates,  names  and  addresses  of  law  firms  or 
offices,  companies  or  governmental  agencies  with 
which  you  have  been  connected,  and  the  nature  of  your 
connection  with  each; 

October  1974-Octob2r  1977 

1  served  as  a  Captain  in  the  U.S.  Army  Judge  Advocate 
General's  Corps  immediately  after  my  admission  to  the 
Louisiana  Bar.  My  duty  assignment  was  as  a  Trial 
Defense  Attorney  and  Legal  Assistance  Officer,  Office 
of  the  Staff  Judge  Advocate,  Headquarters,  Fort  Sam 
Houston,  Texas. 

October  1977-January  1978 

Upon  discharge  from  the  U.S.  Army,  I  returned  home  to 
Shreveport,  Louisiana  where  I  worked  as  an  associate 
attorney  in  the  two-person  law  firm  of  Piper  and 
Brown,  Attorneys  at  Law. 

January  1978-April  1979 

I  served  as  a  staff  attorney  in  the  Shreveport, 
Louisiana  office  of  Louisiana  Attorney  General  William 
J.  Guste,  Jr. 


CES  10  - 


147 


April  1979-Noveniber  1983 

U.S.  Attorney  J.  Ransdell  Keene  hired  me  as  an 
Assistant  U.S.  Attorney  for  the  Western  District  of 
Louisiana  initially  to  work  in  the  civil  section.  I 
remained  an  Assistant  United  States  Attorney  when 
Joseph  S.  Cage,  Jr.  succeeded  Mr.  Keene  as  United 
States  Attorney  for  the  Western  District  of  Louisiana. 

November  1983-April  1985 

Upon  leaving  the  U.S.  Attorney's  Office,  I  went  into 
private  practice  in  a  two-person  law  firm  named 
Stewart  and  Dixon,  A  Professional  Law  Corporation 
located  in  Shreveport,  Louisiana.  I  simultaneously 
held  a  part-time  position  as  an  Assistant  City 
Attorney  for  the  City  of  Shreveport  and  a  Special 
Assistant  District  Attorney. 

b.  1.  What  has  been  the  general  character  of  your  law 
practice,  dividing  it  into  periods  with  dates  if 
its  character  has  changed  over  the  years? 

October  1974-October  1977 

I  was  part  of  a  nine-person  military  law  office. 
As  Trial  Defense  Attorney,  I  achieved  success  on 
behalf  of  my  soldier  clients  in  several 
courts-martial  proceedings.  In  numerous  other 
cases,  quick  and  thorough  pretrial  preparation 
enabled  me  to  secure  nonjudicial  punishments  for  my 
clients  in  lieu  of  court-martial.  In  my  capacity 
as  a  Legal  Assistance  Officer,  I  organized  and 
administered  the  Hospital  Legal  Assistance  Program 
at  Brooke  Army  Medical  Center,  Fort  Sam  Houston. 
As  a  result  of  my  work  as  a  judge  advocate,  I 
received  the  Department  of  the  Army,  Array 
Commendation  Medal  on  October  11,  1977. 

October  1977-January  1978 

I  assisted  both  Piper  and  Brown  in  the  preparation 
of  general  civil  litigation  files.  I  left  the  firm 
along  with  several  support  staff  during  the  law 
firm's  reduction  of  overhead  costs. 

January  1978-April  1979 

The  Attorney  General's  Office  is  located  in 
Shreveport,  Louisiana  and  was  staffed  by  one 
Assistant  Attorney  General,  A.  Mills  McCawley,  a 
secretary,  and  myself.  My  general  duties  were  to 
draft  Attorney  General  opinions,  do  legal  research, 
and  assist  Mr.  McCawley  in  the  preparation  and 
trial  of  cases  within  the  Shreveport  area.  I  left 
the  Louisiana  Attorney  General's  Office  to  accept  a 
higher  paying  position. 

-  CES  11  - 


148 


April  1979-Noveniber  1983 

I  handled  cases  under  the  Federal  Tort  Claims  Act, 
as  well  as  other  federal  statutes  and  under  the 
Code  of  Federal  Regulations.  In  1980,  I  moved  to 
the  criminal  section  and  prosecuted  cases  ranging 
from  the  Migratory  Bird  Treaty  Act  to 
administrative  agency  cases  for  food  stamp 
violations,  social  security  benefits  violations, 
etc.  Cases  I  handled  from  grand  jury  indictments 
to  jury  trial  encompassed  vote  buying  in  federal 
elections,  fraudulent  flood  claims  against  the 
Federal  Emergency  Management  Agency,  embezzlements, 
bank  robberies,  loan  sharking,  and  tax  fraud  and 
criminal  civil  rights  violations.  I  also 
participated  in  voting  rights  and  school 
desegregation  cases  brought  by  the  Justice 
Department. 

November  1983-April  1985 

My  law  partner  was  Edward  Dixon.  We  employed  one 
secretary  and  one  receptionist.  As  a  small  firm, 
we  handled  primarily  general  civil  matters  with 
little  litigation. Both  designations  enabled  me  to 
prosecute  Driving  While  Intoxicated  cases  for  the 
city  under  state  law.  Additionally,  I  prosecuted 
misdemeanors  and  miscellaneous  traffic  offenses. 

Our  law  firm  dissolved  and  my  part-time  prosecution 
work  ended  upon  my  election  as  a  judge  on  March  30, 
1985.   I  took  ray  oath  of  office  on  April  22,  1985. 


Describe  your  typical  former  clients,  and  mention  the 
areas,  if  any,  in  which  you  have  specialized. 

See  answers  to  17b(l)  above. 


Did  you  appear  in  court  frequently,  occasionally,  or 
not  at  all?  If  the  frequency  of  your  appearances  in 
court  varied,  describe  each  such  variance,  giving  dates. 

Except  during  ray  private  practice  years,  I  appeared  in 
state  and  federal  courts  on  i,  regular  basis. 

(See  answers  to  17b(l)  above). 

What  percentage  of  these  appearances  was  in: 
a.  federal  courts;   1974-1977;  1979-1983  (100%) 


-  CES  12 


149 


b.  state  courts  of  record;   1978;  1984-1985  (99%) 

c.  other  courts. 

3.  What  percentage  of  your  litigation  was: 

a.  civil; 

1974-1977  (0%);  1978-1983  (10%);  1984-1985  (1%) 

b.  criminal. 

1974-1977  (100%);  1979-1983  (90%);  1984-1985  (99%) 

4.  State  the  number  of  cases  in  courts  of  record  you 
tried  to  verdict  or  judgmen;  (rather  than  settled), 
indicating  whether  you  were  sole  counsel,  chief 
counsel,  or  associate  counsel. 

Military  practice  -  25  -  sole  counsel 

Private  practice  -   3  -  sole  counsel 

City  and  State  government    -  120  -  sole  counsel 
Federal  government  practice  -  100  -  (85%)  sole  counsel 

(15%)  associate  counsel 

5.  What  percentage  of  these  trials  was: 

(a)  jury;   15% 

(b)  non-jury.   85% 

Litigation;  Describe  the  ten  most  significant  litigated 
matters  which  you  personally  handled.  Give  the  citations,  if 
the  cases  were  reported,  and  the  docket  number  and  date  if 
unreported.  Give  a  capsule  summary  of  the  substance  of  each 
case.  Identify  the  party  or  parties  whom  you  represented; 
describe  in  detail  the  nature  of  your  participation  in  the 
litigation  and  the  final  disposition  of  the  case.  Also  state 
as  to  each  case: 

(a)  the  date  of  representation; 

(b)  the  name  of  the  court  and  the  name  of  the  judge  or 
judges  before  whom  the  case  was  litigated;  and 

(c)  The  individual  name,  addres-.es,  and  telephone  numbers 
of  co-counsel  and  of  principal  counsel  for  each  of  the 
other  parties. 


CES  13  - 


150 


The  ten  most  significant  cases  I  personally  litigated  all 
occurred  during  my  tenure  as  an  Assistant  United  States 
Attorney  for  the  Western  District  of  Louisiana. 

1. 

United  States  v.  Robert  Dwiaht  Hance.  No.  83-50024-08,  Western 
District  of  Louisiana.  Jury  trial  was  held  in  November  1983 
before  the  Honorable  Tom  Stagg.  Counsel  for  the  Defendant: 
Mr.  Neil  Martin  Trichel,  610  Marshall  Street,  Suite  630, 
Shreveport,  Louisiana   71101,  (318)  424-1441 

Summary:   Filing  of  fraudulent  tax  return. 

Representing  the  United  States,  I  handled  Mr.  Nance's  jury 
trial  as  the  last  of  ten  cases  in  which  inmates  at  Wade 
Correctional  Center  located  in  Homer,  Louisiana,  had  filed 
fraudulent  federal  income  tax  returns.  The  inmates  filed 
returns  claiming  they  had  earned  wages  during  the  preceding 
year  and  were  entitled  to  receive  refunds  from  the  United 
States  government.  Refunds  were,  in  fact,  received  by  the 
inmates  via  the  fraudulent  use  of  social  security  numbers  and 
addresses.  Nine  of  the  ten  defendants  pled  guilty  prior  to 
trial,  but  Mr.  Nance,  the  purported  ringleader,  was  tried  and 
convicted  by  a  jury  on  the  indictment  charging  him  with  filing 
a  fraudulent  tax  return. 

My  role  included  the  following:  Coordinating  the  field 
investigation  with  the  FBI;  preparing  and  examining  witnesses 
for  the  grand  jury;  preparing  the  grand  jury  indictment  and 
presenting  it  to  the  grand  jury;  responding  to  pre-trial 
motions;  handling  pre-trial  proceedings  and  hearings;  preparing 
lay  and  expert  witnesses  for  trial;  conducting  the  trial  from 
opening  argument,  through  the  return  of  the  jury  verdict,  to 
sentencing. 

Significance: 

The  case  was  significant  because  it  represented  the 
curtailment  of  a  substantial  scheme  of  defrauding  money  from 
the  government,  not  only  by  persons  who  had  not  earned  any 
income  but  by  inmates  who  were  incarcerated  on  other  charges. 
These  fraudulent  returns  and  the  prosecution  impacted  greatly 
on  the  finances  of  the  United  States.  Mr.  Nance  was  convicted 
and  sentenced  to  a  period  of  hard  labor  to  run  consecutively 
with  the  time  he  was  serving  in  the  state  penitentiary. 


United  States  v.  Wavmon  Fortenberry.  No.  82-30017,  Western 
District  of  Louisiana,  Monroe  Division.  Jury  trial  was  held 
during  1982-1983  before  the  Honora ale  Nauman  S.  Scott,  then 
Chief  Judge  of  the  Western  District  of  Louisiana.  Counsel  for 
the  Defendant:  Mr.  Robert  McLeod,  1900  North  18th  Street, 
Suite  610,  Monroe,  Louisiana  71207,  (318)  325-7000. 
Co-Counsel  for  the  United  States,  Department  of  Justice 
Attorneys  Ross  Connealy  and  Criselda  Ortiz. 

-  CES  14  - 


151 


Summary:  Criminal  Civil  Rights  Violation. 

I  represented  the  United  States  as  co-counsel  in  this  case 
against  Mr.  Fortenberry,  who  was  Warden  of  the  East  Carroll 
Parish  Prison.  The  factual  basis  for  the  criminal  civil  rights 
violation  was  that  two  young  black  men,  inmates  at  the  prison, 
were  left  in  a  metal  box  over  an  extended  period  of  time  and, 
due  to  extreme  heat  and  dehydration,  died  in  the  metal  box. 
Both  the  victims  in  the  case  were  under  20  years  of  age.  After 
a  multi-day  trial,  the  jury  acquitted  the  defendant. 

As  co-counsel,  I  served  as  local  contact  for  the 
Washington,  D.C.  Justice  Department  lead  counsel.  I  examined 
the  grand  jury  witnesses  and  assisted  in  preparing  the  grand 
jury  indictment.  During  the  trial,  I  prepared  and  examined  Dr. 
George  W.  McCormick,  III,  a  forensic  pathologist,  who  testified 
as  an  expert  witness. 

Significance; 

The  case  is  significant  because  of  the  extreme  neglect 
which  led  to  deaths  of  two  young  men  while  in  the  custody  of  a 
state  official.  The  impact  of  the  trial  on  the  community,  as 
well  as  the  deterrent  effect  on  others  responsible  for  the  care 
of  prisoners,  was  significant.  For  my  participation  in  this 
trial,  I  received  a  letter  of  commendation  from  the  United 
States  Department  of  Justice. 


3. 

United States v.   Melvin   Banks   a/k/a   Niohttrain.   No. 

82-50031-01,  Western  District  of  Louisiana,  Shreveport 
Division.  Jury  trial  was  held  during  1982-1983  before  the 
Honorable  Henry  A.  Politz,  now  Chief  Judge  of  the  Fifth 
Circuit,  United  States  Court  of  Appeals,  who  was  then  sitting 
as  a  District  Court  Judge.  Counsel  for  Defendant:  Mr.  Richard 
Schmidt,  appointed  counsel,  then  of  the  law  firm,  Lunn,  Irion, 
Smitherroan,  et  al.  Attorney  Schmidt  is  now  a  United  States 
Bankruptcy  Judge,  501  Government  Plaza  Building,  400  Mann 
Street,  Corpus  Cristi,  Texas   78401,  (501)  888-3482. 

Summary:   Federal  Loan  Sharking. 

I  represented  the  United  States  in  its  prosecution  of  Mr. 
Banks  under  a  federal  loan  sharking  statute  for  his  heinous  and 
prolonged  activities  of  exacting  exorbitant  interest  rates 
under  the  threat  and  perpetration  of  violence  upon  persons  who 
had  borrowed  small  amounts  of  money.  The  victims  were  all 
members  of  Ledbetter  Heights,  a  low  income  neighborhood  in  the 
City  of  Shreveport.  The  trial  of  Mr.  Banks  occurred  after 
taking  a  number  of  guilty  pleas  of  r.everal  persons  involved  in 
the  same  and  similar  conduct  end,  after  extensive  FBI 
surveillance  and  investigation.  The  jury  convicted  Mr.  Banks 
and  he  was  sentenced  to  a  jail  term. 


-  CES  15  - 


152 


My  role  included  the  following:  Coordinating  surveillance 
operations  with  the  FBI;  preparing  and  examining  witnesses  for 
the  grand  jury;  preparing  the  grand  jury  indictment  and 
presenting  it  to  the  grand  jury;  responding  to  pre-trial 
motions;  handling  pre-trial  proceedings  and  hearings;  preparing 
lay  and  expert  witnesses  for  trial;  conducting  the  trial  from 
opening  argument,  through  the  return  of  the  jury  verdict,  to 
sentencing. 

Significance: 

The  incarceration  of  Mr.  Banks  removed  a  substantial  threat 
to  the  community,  particularly  in  the  lives  of  the  elderly  and 
poor  people  who  he  intimidated. 


United  States  v.  E.B.  Malmav,  No.  80-50031,  Western  District  of 
Louisiana,  United  States  v.  Malmav.  (on  appeal)  671  F.2d  869 
(5th  Cir.  1982). 

and 

5. 

United  States  v.  Alfice  Brumlev.  No.  80-50029,  Western  District 
of  Louisiana.  Litigated  during  1980-1981  before  the  Honorable 
Tom  Stagg.  Counsel  for  both  Defendants:  Mr.  John  R.  Nartzell, 
338  Lafayette  Street,  New  Orleans,  Louisiana  70130,  (504) 
581-9065.  Co-Counsel  for  the  United  States:  Mr.  A.  M.  Stroud, 
then  First  Assistant  United  States  Attorney,  who  is  now  with 
the  law  firm  Blanchard,  Walker,  O'Quin  &  Roberts,  Post  Office 
Drawer  1126,  Shreveport,  Louisiana   71163,  (318)  221-6858. 

Summary:   Payment  of  voters  in  an  election. 

Mr.  Malmay  was  an  elected  school  board  member,  and  Mr. 
Brumley  was  an  incumbent  sheriff,  in  Sabine  Parish  of 
Louisiana.  Each  was  indicted  for  paying  voters  in  an  election 
in  which  federal  candidates  were  on  the  ballot.  In  connection 
with  the  public  integrity  section  o:'!  the  Justice  Department,  I 
participated  as  co-counsel  in  the  prosecutions  of  Mr.  Malmay 
and  Mr.  Brumley.  Mr.  Brumley  plead  guilty  to  a  misdemeanor  and 
is  still  the  sheriff  for  Sabine  Parish.  Due  to  pretrial 
publicity  in  the  Sabine  Parish  area,  Mr.  Malmay's  trial  was 
held  in  Shreveport.  Mr.  Malmay  was  convicted  by  a  jury  but, 
due  to  his  age  and  station  in  the  community,  he  was  not  given  a 
jail  term. 

My  participation  as  co-counsel  included  extensive 
coordination  of  pre-indictment  investigation  with  the  FBI  and 
review  of  FBI  302  reports.  I  accompanied  FBI  agents  during 
witness  interrogation.  I  examined  grand  jury  witnesses  and 
assisted  lead  counsel,  Mr.  Stroud,  in  all  other  pre-trial 
proceedings.  I  examined  witnesses  aid  did  the  closing  argument 
during  the  trial  of  Mr.  Malmay. 

-  CES  16  - 


153 


Significance; 

These  convictions  were  the  culmination  of  an  extensive 
investigation  by  the  FBI  which  had  resulted  in  a  number  of 
guilty  pleas  of  lower  level  haulers  and  payers.  The  conviction 
of  Mr.  Malmay  served  as  a  great  deterrent  to  vote  buying  and 
other  voter  irregularities  in  the  Sabine  Parish  area  and  other 
parts  of  the  state.  The  conviction  of  a  higher-up  official 
served  to  bestow  a  confidence  in  the  electoral  system  in  the 
area  impacted. 


6. 

United  States  v.  Charles  Bentlev.  Nos.  83-30008  and  85-50040, 
Western  District  of  Louisiana,  Alexandria  Division.  Litigated 
before  the  Honorable  Nauman  S.  Scott,  then  Chief  Judge  of  the 
Western  District  of  Louisiana.  Counsel  for  the  Defendant:  Mr. 
Ralph  Capitelli,  600  Julia  Street,  New  Orleans,  Louisiana 
70130,  (504)  582-2425. 

Summary:   Embezzlement. 

Representing  the  United  States,  I  handled  Mr.  Bentley's 
prosecution  and  guilty  plea  after  an  extensive  grand  jury 
investigation  which  showed  that  he  had  embezzled  more  than  $6 
million  from  the  Bastrop  Federal  Savings  and  Loan  Association 
where  he  was  an  officer  and  employee.  Mr.  Bentley  had  an 
excessive  gambling  habit  which  was  the  cause  of  his  extensive 
thefts  from  the  Savings  and  Loan  Association.  Because  he  was  a 
relative  of  one  of  the  senior  employees,  he  was  able  to  conceal 
this  embezzlement  for  an  extended  period  of  time.  Mr.  Bentley 
pled  guilty. 

My  role  included  coordinating  the  field  investigation  with 
the  FBI  and  examining  numerous  financial  records  and  gambling 
paraphernalia.  I  presented  evidence  to  the  grand  jury  which 
culminated  in  Mr.  Bentley's  indictment.  I  represented  the 
government  in  plea  negotiations  which  resulted  in  Mr.  Bentley's 
guilty  plea  to  five  counts  of  embezzlement,  each  count  in  the 
amount  of  approximately  $1  million. 

Significance; 

One  of  the  larger  embezzlement  cases  prosecuted  in 
Louisiana  at  that  time,  this  $6  million  embezzlement  served  to 
cause  the  ultimate  demise  of  the  Bastrop  Federal  Savings  and 
Loan  Association. 


United  States  v.  Hugh  Lemoine.  No.  81-50011,  Western  District 
of  Louisiana,  Shreveport  Division.  Jury  trial  was  held  during 
1981-1982  before  the  Honorable  Tom  Stagg.  Counsel  for 
Defendant:  Mr.  H.  F.  Sockrider,  Jr.,  327  Crockett  Street, 
Shreveport,  Louisiana   71101,  (318)  Z21-5503. 


-  CES  17  - 


154 


Summary:   Receipt  and  sale  of  stolen  merchandise. 

Mr.  Lemoine  was  a  Shreveport  policeman  who  was  charged  by 
indictment  with  knowingly  receiving  and  reselling  major 
appliances  which  he  knew,  or  should  have  knotm,  had  been 
highjacked  from  an  eighteen-wheeler  truck  during  the  interstate 
transport  of  the  merchandise.  After  multiple  days  of  trial, 
the  jury  acquitted  Mr.  Lemoine. 

My  role  included  the  following:  Coordinating  the  field 
investigation  with  the  FBI;  preparing  and  examining  witnesses 
for  the  grand  jury;  preparing  the  grand  jury  indictment  and 
presenting  it  to  the  grand  jury;  responding  to  pre-trial 
motions;  handling  pre-trial  proceedings  and  hearings;  preparing 
lay  and  expert  witnesses  for  trial;  conducting  the  trial  from 
opening  argument,  through  the  return  of  the  jury  verdict. 

Significance: 

Notwithstanding  the  acquittal,  the  case  culminated  an 
extensive  investigation  involving  receipt  and  sale  of  stolen 
merchandise  that  had  been  located  in  interstate  commerce.  The 
guilty  pleas  which  preceded  the  Lemoine  trial,  as  well  as  the 
trial  itself,  served  to  deter  other  highjacking  and  receipt  and 
purchase  of  stolen  items  from  Shreveport  area  truck  stops  and 
other  locations. 


8. 

United  States  v.  Warren  J.  Lacomb.  Ho.  83-10011-01,  Western 
District  of  Louisiana.  Jury  trial  was  held  during  1983-1984 
before  the  Honorable  Rauman  S.  Scott.  Counsel  for  the 
Defendant:  Mr.  Michael  Johnson,  now  a  judge  on  the  12th 
Judicial  District  Court,  Avoyelles  Parish  Courthouse, 
Marksville,  Louisiana   71351,  (318)  253-9418 

and 

9. 

United  States  v.  Mitchell  Laprairie.  Ho.  82-10024-01,  Western 
District  of  Louisiana.   Counsel  for  Defendant:    J.   Michael 
Small,   One  Center  Court,   Suite  201,  Alexandria,   Louisiana 
71309,  (318)  487-8963. 

Summary:   Fraudulent  flood  claims. 

Lacomb  and  Laprairie  were  companion  cases  to  Verna 
Disselle.  No.  83-10012-01,  Louis  Foster.  Ho.  84-10016-01,  and 
Thomas  Simpson.  I  represented  the  United  States  in  these  cases 
in  which,  after  an  extensive  grand  jury  investigation,  each 
defendant  was  indicted  for  filing  fraudulent  flood  claims  with 
the  Federal  Emergency  Management  Agency.  A  scheme  was 
protracted   with   Thomas   Simpson,   the   agent   for   General 


-  CES  18  - 


155 


Adjustment  Bureau  which  handled  £lood  claims  as  a  lower  level 
adjuster  for  FEMA.  Lacomb  was  the  owner  of  several  properties 
regarding  which  he  submitted  claims.  Lacomb  also  consorted 
with  other  defendants  to  file  claims  on  his  behalf  in  an  effort 
to  recover  money  from  the  United  States  Government  on 
properties  which  either  (1)  were  not  owned  by  him,  or  (2)  were 
owned  by  him  but  which  had  not  been  affected  by  any  flood. 

In  developing  and  prosecuting  these  cases,  I  accompanied 
the  lead  FBI  investigator  to  view  the  situs  of  many  of  the 
fraudulent  claims.  I  presented  to  the  grand  jury  the  evidence 
which  had  been  developed  by  the  FBI,  prepared  indictments,  and 
negotiated  plea  agreements.  I  coordinated  with  the  FBI  a 
method  by  which  guilty  pleas  were  obtained  from  lower-level 
participants  in  exchange  for  information  and  testimony  about 
higher-level  participants.  The  procedure  used  extended  the 
investigation  but  resulted  in  the  indictment  of  Lacomb,  who  had 
submitted  a  large  number  of  fraudulent  claims. 

Significance: 

The  impact  of  these  cases  is  that,  cumulatively,  they 
involved  a  loss  to  the  United  States  Government  of  over 
$169,000. 


10. 

Beryl N. Jpngg v.   Caddo   Parish   School   Board.   Civil  No. 

11055-S.  Western  District  of  Louisiana.  Litigated  in  1981 
before  United  States  District  Judge  Tom  Stagg  in  the  Shreveport 
Division.  Counsel  for  Caddo  Parish  School  Board:  Mr.  Fred 
Sutherland,  400  Travis  Street,  1103  Beck  Building,  Shreveport, 
Louisiana  71101,  (318)  226-9001.  Co-Counsel  for  Jones:  then 
United  States  Attorney  J.  Ransdell  Keene,  whose  current  address 
is  Post  Office  Box  3097  1040  Kings  Highway,  Shreveport, 
Louisiana  71133-3097  (318)  221-5770;  then  First  Assistant 
United  States  Attorney  Frances  O.  An.en,  who  now  resides  at  754 
Dudley  Drive,  Shreveport,  Louisiana  71104,  (318)  868-9953;  and 
Justice  Department  Attorneys  Nathaniel  Douglas  and  Brian 
Hefernan. 

Summary:   Desegregation. 

Jones  is  the  primary  school  desegregation  case  in  Caddo 
Parish.  When  first  filed  in  the  1960 's,  it  challenged  the 
separate  but  unequal  school  system  in  the  parish.  Vestiges  of 
the  case  remained  in  1981  when  the  Caddo  Parish  School  System 
sought  unitary  status.  As  an  Assistant  United  States  Attorney, 
I  worked  with  the  above  referenced  co-counsel  in  fashioning  a 
Consent  Decree. 

My  participation  in  this  case  included  numerous  discussions 
with  government  expert  witnesses,  school  board  members,  and 
others,  as  well  as  negotiations  wi-rh  counsel  for  the  school 
board.  I  collaborated  with  co-counr,el  and  opposing  counsel  to 
assess  the  impact,  upon  various  segments  of  the  community,  of 
both  the  proposed  and  final  language  of  the  Consent  Decree 

-  CES  19  - 


156 


The  negotiations  are  described  as  follows  in  Jones  v .  Caddo 
Parish  School  Board.  735  F.2d  923,  931  (5th  Cir.  1984): 

[T]he  United  States  and  the  Board  entered  into 
widely  publicized  settlement  negotiations  lasting 
nearly  a  year,  which  led  up  to  the  execution  of  the 
Consent  Decree  in  Nay  1981.  Numerous  public  meetings 
(twenty-eight  are  listed  in  the  papers  filed  by  the 
Board  below)  were  held  throughout  the  community, 
principally  in  February,  March  and  April  1981,  to 
inform  the  citizens  about  various  desegregation 
approaches  and  to  obtain  community  input. 
Representatives  of  the  Justice  Department  met  with 
black  civic  leaders,  and  also  received  input  form 
black  citizen  and  parent  groups. 

Significance: 

The  Consent  Decree  is  signed  by  me  as  one  of  the 
attorneys  and  still  governs  the  Caddo  Parish  School  system 
today. 

19.  Legal  Activities;  Describe  the  most  significant  legal 
activities  you  have  pursued,  including  significant 
litigation  which  did  not  progress  to  trial  or  legal  matters 
that  did  not  involve  litigation.  Describe  the  nature  of 
your  participation  in  this  question,  please  omit  any 
information  protected  by  the  attorney-client  privilege 
(unless  the  privilege  has  been  waived.) 

In  addition  to  the  cases  previously  described  in 
Number  18  above  in  which  I  was  involved  in  the  litigation, 
cases  which  I  presided  over  as  a  trial  judge  stand  out  in 
my  career.  The  range  of  judicial  decisions  I  have  made 
include  issues  of  child  custody,  paternity,  probate  and 
successions,  trusts,  personal  injury,  worker's 
compensation,  personal  and  commercial  property  interests, 
business  organization  disputes,  misdemeanors  to  murders, 
rapes,  robberies,  and  drug  offense.  The  close  contact  I 
have  had  with  litigants,  lawyers,  jurors  and  fellow  judges 
has  made  ray  respect  for  the  value  of  the  rule  of  law 
greater  than  ever.  Having  served  as  a  trial  judge,  I  feel 
well  equipped  to  handle  appellate  review  on  a  high  volume 
basis. 


-  CES  20 


157 


II.   FINANCIAL  DATA  AND  CONFLICT  OF  INTEREST  (PUBLIC) 


List  sources,  amounts  and  dates  of  all  anticipated 
receipts  from  deferred  income  arrangements,  stock, 
options,  uncompleted  contracts  and  other  future  benefits 
which  you  expect  to  derive  from  previous  business 
relationships,  professional  services,  firm  memberships, 
former  employers,  clients,  or  customers.  Please  describe 
the  arrangements  you  have  made  to  be  compensated  in  the 
future  for  any  financial  or  business  interest. 

None. 


Explain  how  you  will  resolve  any  potential  conflict  of 
interest,  including  the  procedure  you  will  follow  in 
determining  these  areas  of  concern.  Identify  the 
categories  of  litigation  and  financial  arrangements  that 
are  likely  to  present  potential  conf  licts-of-interest 
during  your  initial  service  in  the  position  to  which  you 
have  been  nominated. 

I  am  unaware  of  any  conflicts  of  interest  that  might 
occur  based  on  any  past  or  present  financial  arrangements 
I  have.  I  also  do  not  know  of  any  types  of  litigation 
which  might  cause  me  to  have  a  conflict  of  interest. 
Nonetheless,  I  have  read  the  Code  of  Conduct  for  United 
States  Judges  and  fully  intend  to  follow  it  whenever  I 
should  encounter  a  potential  or  actual  conflict  of 
interest.  I  would  recuse  myself  from  considering  any  case 
in  which  a  conflict  of  interest  exists.  ' 


Do  you  have  any  plans,  commitments,  or  agreements  to 
pursue  outside  employment,  with  or  without  compensation, 
during  your  service  with  the  court?   If  so,  explain. 

Ho. 


List  sources  and  amounts  of  all  income  received  during  the 
calendar  year  preceding  your  nomination  and  for  the 
current  calendar  year,  including  all  salaries,  fees, 
dividends,  interest,  gifts,  rents,  royalties,  patents, 
honoraria,  and  other  items  exceeding  $500  or  more  (If  you 
prefer  to  do  so,  copies  of  the  financial  disclosure 
report,  required  by  the  Ethics  in  Government  Act  of  1978, 
may  be  substituted  here.) 

See  Attached  Form  AO-IO  Financial  Disclosure  Report. 


-  CES  21  - 


158 


FINANCIAL  DISCLOSURE  REPORT 


toport  Raqolfvd  by  tbm  ItUea 
R«fO£V  jure  of  1989.  Pub.   L.  Ho. 
101-194.      Novaabu    10.    1989 
(S   U.S.C.il.    Jlpp.    6,    SSlOl-112) 


1.   PvrsoD  Raportlog  (L4at  oana.    first,  alddlc  InttlaT ) 


Stewart,  Carl  E. 


2.  Court  or  OrganlzAtloo 

U.S.  Court  of  Appeals 
Fifth  Circuit 


1.  D«ta  of  Rftport 


January   20 , 


99 


4.  Tltla   (imicla  XIX  judges  indlCAt*  sctlva  or 

■•nlor  Bt«tua;  Kaglstrat*  judgaa  Indicata 
full-  or  pATX-tloa) 

Circuit  Judge  (full-time) 


i.   Raport  Xypa  (chack  approprlata  cypa) 
,,  Hoalnatlon,  Data 
X  Initial 


Annual 


Final 


6.  Xaportlag  Parlod 


January  1,  1993  to 
December  31,  199: 


7.  Chmmbmrm   or  otflc*  Aoarmmm 

U.S.  Courthouse 
600  Camp  Street 
New  Orleans,  Louisiana  70130 


8.  oa  tbo  baala  oC  tbo  laforvatloo  conralnod  la  tbla  Msport.  It 
la.  lA  By  opinion,  in  coapllanca  wltb  appllcabla  l«w«  and 
cafolntiona  


llaviawlag  Offlc«r  aignator* 


IMPORTANT   NOTES:     The  inimictions     accompanying    this  form   must  be  followed.   Complete  all  parts, 
cfaeddng  the  NONE  box  for  each  section  where  you  have  no  reportable  information.    Sign   on  last  poge. 


1.     POSITIONS.     (Reporting  individual  only,  see  pp.  7-8  of  Instructions.) 

POSITION  NAME  OF  ORGANIZATION/ENTITY 


D 


NONE   (Ho  raporcnbla  positional 

Director 

Trustee 


Volunteers  of  America  of  Northwest  Louisiana 

Norwela  Council ,  Boy  Scouts  of  America 

Centenary  College,  Shreveport,  Louisiana 


II.     AGREEMENTS.     (Reporting  individual  only,  see  p.  8-9  of  Instructions.) 
DATE  PARTIES  AND  TERMS 


NONE       (Ho  Tsportabls  agn 


III.     NON-INVESTMENT  INCOME.     (Reporting  individual  and  spouse;  see  pp.  9-12  of  Instructions.) 


n 


DATE 
(Honoraria  only) 


SOURCE  AND  TYPE 


NONE        (Mo  r«portabla  noo-lnvnTMiit   In 


T.niii<;iana    fSrafP     TuHi  ri  ary     CTiidi  ri  a1     Salary') 


(S)Caddo  Parish  School  Board  (Salary) 


r<;^c;rhiimpprr    Mpdiral     Cpnl-pr     CSalaryl 


GROSS  INCOME 
(yours,  act  spouse's) 


S  «q  nnn 

$ 

$ 

$ 

s 


159 


FINANCIAL  DISCLOSURE  REPORT  (cont'd) 


Has*  at   PersoQ   Reporting 

Carl   E.    Stewart 


DaXm  of   Raport 

January   20 .    L9 


"■   "^^a^i'",?^"^"'^^  ^"^  °'"'S  -  iraispottation,  lodging,  food,  entertainment 

SOURCE  DESCRIPTION 

I I       NONE      (Ho  ■neh  MpoTMBlo  roJjnbiir««iD«it.  or  glfti) 

E^iEtlE^: KXFMPT 


V.     OTHER  GIFTS.     (Indudes  those  to  spouse  and  dependent  children;  use  the  i>arenthetlcals  V<n'  .nd  -mrr  f„ 
rndtat^other  g^s  received  by  spouse  and  STpenden.  cS^i^^^^^^!^'^J%  Tlns^So^ 

n 


r  InslmctloQa.) 
SOURCE  DESCRIPTION  V/iLVE 

NONE       (No  ■ucJl  raportAblo  gl£t«) 


1 


EXEMPT EXEMPT 


s. 

s. 

s 


^'-    ^'^g'liili^,.  ^"^f.%^^L'^Tsrtr''J^^^^'-„^^^^^^ 


£s»  ^^-^  «C;^Slf S35SiE 


or  reporting 


Instructions.) 
"^™"^°'*  DESCRIPTION  VALUE    CODE* 

A     I       NONE       (Do  zapoRabl*  llaDlllUu) 


s 


"^°»"=    r.|Ho?2S.°L^n;o,oco   y.llliZ.'Vll'.lllo.o   J : S^;°?i^%l?SSo?SSo  « -'-.""«. -.00. 


160 


FINANCIAL  DISCLOSURE  REPORT  (cont'd) 


HonM  of   Par«on  Raporrlng 

Carl   E.    Stewart 


Data  oC    Repozt 


January   20,    1 19^ 


VII.    INVESTMENTS  and  TRUSTS  -  income,  value,  transactions,    (includes  those  of  spouse 

and  dependent  children;  see  pp.  18-27  of  Instructions.) 


Daaorlptioa  oC  Aaa«t« 
(locludLsg  xnmt  uammXMi 

Zndlo«t«,   wbarw  appllcahla,   ownar  of 
tba  #»aat  by  uaijig  cEa  parancbatJ.cal 

durlna 

c. 

9roas  valaa 

at  and  of 

raportlng 

period 

D. 
Tranaaotlona  during  repoRlsg  p«rlod 

inn  indlviaual   and   spcrasa,    "(S)      for 
MDsrata  ownarstiXp  by  spouaa.    *<DC}" 
Cor  pwnarmAXp  by  gapawlant  ealld. 

?1mo»   "<Z)*   atzmr  aaeh  mmmmt. 
mxmmpz  cxoB  prior  dlacioaura. 

(1) 

(2) 

^: 

raac  or 

Inc.r 

(1) 

(2) 

Valua 
MatJtod« 

coda' 

^ 

It  not  axaapt.  Croa  dlscloaura               | 

bvy^aaU., 

nargar, 
radasp- 
tlon) 

Hontfa' 

Day 

(3) 

Valua, 
Coda' 

(«) 

Gain, 

coda' 

C»-a) 

IdaoUiy  o£ 
bnyar/aallar 
(It  prlvata 
traasaouon) 

NONE     (Ro  rapoTUbla 
y                    Inrn— ,   aasaca,  or 
A                   tranaactlona ) 

1 

2 

3 

< 

5 

6 

■) 

• 

9 

10 

11 

12 

13 

14 

15 

1( 

17 

la 

19 

20 

I  iBooiM/Caln  Codaai       »-«l,000  or  lasa                   B-Jl,00l  to  S2,500                    C-S2,501  to  5,000                      0-S5,001  to  $15,000 
fsaa  col.    Bl    I    D»)         E-S15,001    to   SSO.OOO             F-J50,001    to   SIOO.OOO                C-S100,0Ol    to    SI, 000, 000        B-Mora    tn.o   $1,000,000 

(Saa  Col      CI    t   D31         R-$250,D01    to   $500,000        O-S500,00J    to   51,000,000        P-Mora    than    SI. 000, 000 

1  Valoa  Hatnod   Codaat      Q-Appraiaal                                R-Coat   (real  astato  only)      S-Ataaaaaant                                   T-Caab/Harkat 
(Saa  col.   C2)                    U-BooK  Valua                              V-otBar                                              w-Batljutad 

161 


FINANCIAL  DISCLOSURE  REPORT  (conl'd) 


NuM  Of   Parson  R«porxlog 

Carl  E.  Stewart 


Data  of  Rapozt 


January   20 ,    !  99 


VIII.    ADDITIONAL  INFORMATION  or  EXPLANATIONS,    (indicate  pait  of  Report.) 


IX.    CERTIFICATION. 


Id  compliance  with  the  provisions  of  28  U.S.C  §  4SS  and  of  Advisoiy  Opinion  No.  57  of  the  Advisory  Committee  on 
Judicial  Activities,  and  to  the  best  of  my  knowledge  at  the  time  after  reasonable  inquiiy,  I  did  not  perform  any  adjudicatoiy 
function  in  any  litigation  during  the  period  covered  by  this  report  in  which  I,  my  spouse,  or  my  minor  or  dependent  children 
had  a  financial  interest,  as  defined  in  Canon  3C(3)(c),  in  the  outcome  of  such  litigation. 

I  certify  that  all  information  given  above  (including  information  pertaining  to  my  spouse  and  minor  or  dependent  children, 
if  any)  is  accurate,  true,  and  complete  to  the  best  of  my  Imowledge  and  belief,  and  that  any  information  not  reported  was 
withheld  because  it  met  applicable  statutory  provisions  permitting  non-disclosure. 

1  funher  certify  that  earned  income  from  outside  employment  and  honoraria  and  the  acceptance  of  gifts  which  have  been 
reported  are  in  compliance  with  the  provisions  of  5  U.S.CA.  app.  7,  §  SOI  et  seq.,  S  U.S.C  S  7353  and  Judicial  Conference 
regulations. 


Signature 


Dale.Tamiarv    20.    1994 


NOTE:     ANY  INDIVIDUAL  WHO  KNOWINGLY  AND  WILFULLY  FALSIFIES  OR  FAILS  TO  FTLE  THIS  REPORT 
MAY  BE  SUBJECT  TO  CIVIL  AND  CRIMINAL  SANCTIONS  (5  U.S.CA.  APP.  6,  §  1(M,  AND  18  U.S.C  §  lOOL) 


FILING  INSTRUCTIONS: 

Mafl 

signed 

original 

and  3  additional 

copies  to: 

Judicial  Ethics  Committee 
Administrative  Office  of  the 

United  Slates  Courts 
Washington,  DC  20544 

162 


5.  Please  complete  the  attached  financial  net  worth  statement 
in  detail  (Add  schedules  as  called  for). 

See  Attached. 

6.  Have  you  ever  held  a  position  or  played  a  role  in  a 
political  campaign?  If  so,  please  identify  the 
particulars  of  the  campaign,  including  the  candidate, 
dates  of  the  campaign,  your  title  and  responsibilities. 

None  other  than  my  own  election  campaign  for  Louisiana 
State  District  Judge  on  March  30,  1985  in  Shreveport, 
Louisiana. 


-  CES  22 


163 


NET  WORTH 


February  23.  1994 


Judge  Carl  E.  Stewart  

Provide  t  complete,  current  nnancial  net  wonh  jutement  which  itcmiMJ  In  detiil 
til  aisf  ti  (Including  bink  iccounti.  real  esuie,  jecuriticj,  trusts,  investments,  and  other  financiil 
holdmgs)  all  liabilities  (bdudbig  debts,  mortgages,  loans,  and  other  financial  obligations)  of 
youn^Ii".  your  spouse,  and  other  Immediate  member?  of  your  householi 


ASSETS 

UABn-rnES 

Cub  on  kuid  uii  in  btnki 

'5,200. 

00 

Sole*  peyible  to  b«nl3-«»ai'e<l 

1 

U.S.  Covuniscnt  Mcurida-tdd 
tchedul* 

Nolu  ptytbli  <0  btnb-uniccu.n^ 

Lirttd  >ccuntiu-*dd  schrduli 

NoUi  ptytbU  10  relilivei 

UnlJilsd  Kcwit!ci"wU  ichxljl* 

Nolei  ptyibk  Id  olbert 

Account!  ind  noui  rtotlviblc 

AecounU  tod  billt  dua 

Dm«  frDin  rclilires  uid  friuidi 

Unpaid  Income  tix 

Put  from  otheri 

Other  onpeid  in  ind  inttrtd 

1 

Doubtful 

Rfil  tiuu  na(t{ite(  ptytblc-idd 
•che^Iult 

145 

000. 

Ot 

ReU  e4Ulc  awned.-tdd  schedule 

165,00 

).0( 

Chuiel  owiimet  and  other  lieni  piy. 
abU 

2 

766. 

Ot 

Xul  ciLile  morHiiej  rectivtble 

Oiher  debu-ileiniu.' 

Autot  »«d  other  penoo*:  property 

55,00 

).0( 

installment    accounts/ 

32 

.0  0^ 

0( 

Cuh  V4]ue-U|(  insu.'uic« 

6,08 

L.0( 

credit    cards 

Ovher  uitu-iuraiie: 

1 

Toro    Hills    time    share 

7.50 

0.0 

1 

/ 

1 

JoAnn    Stewart    -    IRA 

10,000 

.00 

1 

Certificate    of     Deposit 

5  ,000 

.00 

Total  liabOitiM 

179, 

^66. DO 

La.     State     Emo'ee    Retiremt. 

7  1  ,'iy7 

.00 

NetWoitt 

145, [512. [)0 

ToUl  Aiuls                                                    $  - 

25,27? 

.00 

Total  liabnUu  and  rtel  erarlh 

325, 

278. bo 

CO.NILVGEM  llABiLllliLa 

CENXRAL  INFORMATION 

As  eodorter,  eomaier  or  |utrulor 

Art  any  aueu  ple<i(c4?  (Add  ichai. 
vie.) 

NO 

On  leuei  oi  oontjicti 

Are  you  defcadant  ir.  ar,y  (uiu  or  le(al 
tciioniT 

NO 

Legd  Otlnu 

Have  you  er»er  takao  bankrwpte)  J 

NO 

Pioviuon  for  FcdertJ  Incomt  Tax 

Other  ipefUJ  debt 

164 


III.   GENERAL  (PUBLIC) 


An  ethical  consideration  under  Canon  2  of  the  American  Bar 
Association's  Code  of  Professional  Responsibility  calls 
for  "every  lawyer,  regardless  of  professional  prominence 
or  professional  workload,  to  find  some  time  to  participate 
in  serving  the  disadvantage."  Describe  what  you  have  done 
to  fulfill  these  responsibilities,  listing  specific 
instances  and  the  amount  of  time  devcted  to  each. 

Since  1985,  I  have  served  on  panels  for  the  Hugh 
O'Brien  Youth  Leadership  Program,  Mock  Trial  judge. 
People's  Law  School  participant,  and  Shreveport  Bar 
Association  Pro  Bono  Project  speaker.  As  a  trial  judge,  I 
regularly  invited  school  kids  to  visit  my  courtroom  in 
order  to  give  them  a  real  impression  of  the  impact  of  the 
law  in  our  society.  During  breaks,  I  have  introduced 
court  staff  to  kids  and  answered  questions  for  them.  As 
an  appellate  judge,  I  have  hosted  at  risk  black  kids  from 
an  after  school  program  to  my  chambers  and  the  courtroom. 
In  addition  to  my  youth  services  oriented  board 
memberships,  I  make  10-15  school  appearances  per  year  for 
speeches,  panels,  etc.  I  devote  an  average  of  two  hours 
per  work  day  to  youth  and  disadvantaged  youth  programs  and 
activities. 


The  American  Bar  Association's  Commentary  to  its  Code  of 
Judicial  Conduct  states  that  it  is  inappropriate  for  a 
judge  to  hold  membership  in  any  organization  that 
invidiously  discriminates  on  the  basis  of  race,  sex,  or 
religion.  Do  you  currently  belong,  or  have  you  belonged, 
to  any  organization  which  discriminates--through  either 
formal  membership  requirements  or  the  practical 
implementation  of  membership  policies?  If  so,  list,  with 
dates  of  membership.  What  you  have  done  to  try  to  change 
these  policies? 

None. 


3.  Is  there  a  selection  commission  in  your  jurisdiction  to 
recommend  candidates  for  nomination  to  the  federal 
courts?  NO.  If  so,  did  it  recommend  your  nomination? 
Please  describe  your  experience  ir  the  entire  judicial 
selection  process,  from  beginning  zo  end  (including  the 
circumstances  which  led  to  your  nomination  and  interviews 
in  which  you  participated) . 

I  was  recommended  for  nomination  to  the  federal  court 
by  Louisiana's  two  U.S.  Senators  J.  Bennett  Johnston 
and  John  Breaux.  Thereafter,  I  was  called  by  White 
House  Counsel  Bernard  Nussbaum  about  their 
recommendation   and   I   affirmatively   acknowledged  my 

-  CES  23  - 


165 


desire  to  serve  on  the  federal  bench.  I  submitted 
answers  to  a  set  of  questionnaires  provided  by  the 
White  House  Counsel's  Office  and  was  later  interviewed 
in  Shreveport  by  the  FBI  and  a  representative  of  the 
American  Bar  Association  Standing  Committee  on  the 
Federal  Judiciary.  I  was  interviewed  in  Washington, 
D.C.  by  the  White  House  Counsel  and  members  of  his 
staff.  On  January  27,  1994,  the  White  House  Counsel 
notified  me  by  telephone  that  President  Clinton  had 
nominated  me  to  serve  as  a  judge  on  the  U.S.  Fifth 
Circuit  Court  of  Appeals. 

Has  anyone  involved  in  the  process  of  selecting  you  as  a 
judicial  nominee  discussed  with  you  any  specific  case, 
legal  issue  or  question  in  a  manner  that  could  reasonably 
be  interpreted  as  asking  how  you  would  rule  on  such  case, 
issue,  or  question?   If  so,  please  explain  fully. 

No. 


Please  discuss  your  views  on  the  following  criticism 
involving  "judicial  activism." 

The  role  of  the  Federal  judiciary  within  the  Federal 
government,  and  within  society  generally,  has  become  the 
subject  of  increasing  controversy  in  recent  years.  It  has 
become  the  target  of  both  popular  and  academic  criticism 
that  alleges  that  the  judicial  branch  has  usurped  many  of 
the  prerogatives  of  other  branches  and  levels  of 
government. 


Some  of  the  characteristics  of  this  "judicial  activism" 
have  been  said  to  include" 

a.  A  tendency  by  the  judiciary  toward  problem- 
solution  rather  than  grievance-resolution; 

b.  A  tendency  by  the  judiciary  to  employ  the 
individual  plaintiff  as  a  vehicle  for  the 
imposition  of  far-reaching  orders  extending  to 
broad  classes  of  individuals, 

c.  A  tendency  by  the  judiciary  to  impose  broad, 
affirmative  duties  upon  governments  and  society; 

d.  A  tendency  by  the  judiciary  toward  loosening 
jurisdictional  requirements  such  as  standing  and 
ripeness;  and 


-  CES  24  - 


166 


e.  A  tendency  by  the  judiciary  to  impose  itself  upon 
other  institutions  in  the  manner  of  an 
administrator  with  continuing  oversight 
responsibilities. 

I  believe  in  and  respect  the  equality  of  the  three 
branches  of  government  created  by  the  U.S. 
Constitution.  As  a  separate  branch  of  government,  the 
federal  judiciary's  powers  should  be  exercised 
sparingly  and  in  a  manner  which  resolves  the 
litigation  along  the  narrowest  basis  possible.  Where 
issues  before  a  court  can  more  appropriately  be 
resolved  pursuant  to  the  powers  of  the  legislative  or 
executive  branches,  the  court  should  defer  to  the 
other  branches. 

I  believe  that  the  doctrine  of  judicial  precedent 
plays  a  valuable  role  in  maintaining  stability  in  the 
law.  I  am  familiar  with  the  use  of  judicial  precedent 
as  part  of  the  judicial  decision  making  process.  I 
have  found  it  to  play  an  important  part  in  helping  a 
court  render  sound  legal  rulings  on  the  issues 
presented  by  the  litigants. 


CES  25  - 


167 

I.  BIOGRAPHICAL  INFORMATION  (PUBLIC) 

1.  Full  name  (include  any  former  names  used.) 
James  Gray  Carr 

2.  Address:   List   current   place   of   residence   and   office 
address (es) . 

Residence:  4525  Wedgewood  Court 
Toledo,  Ohio  43615 

Office:     318  United  States  Courthouse 
1716  Spielbusch  Avenue 
Toledo,  Ohio  43624 

3.  a.    Date  and  place  of  birth 

November  14,  1940   Boston,  Massachusetts 

4.  Marital  Status  (include  maiden  name  of  wife,  or  husband's 
name).  List  spouse's  occupation,  employer's  name  and  business 
address (es) . 

Eileen  M.  Carr  (Glynn) 

Associate  Professor 
College  of  Education 
University  of  Toledo 
2801  West  Bancroft  Street 
Toledo,  Ohio  43606 

5.  Education;  List  each  college  and  law  school  you  have  attended, 
including  dates  of  attendance,  degrees  received,  and  dates 
degrees  were  granted. 

Kenyon  College  1958-62  A.B.  1962 
Univ.  of  Freiburg  1962-63  no  degree 
Harvard  Law  School   1963-66        LL.B.  1966 

6.  Employment  Record:  List  (by  year)  all  business  or  professional 
corporations,  companies,  firms,  or  other  enterprises, 
partnerships,  institutions  and  organizations,  nonprofit  and 
otherwise,  including  firms,  with  which  you  were  connected  as 
an  officer,  director,  partner,  proprietor,  or  employee  since 
graduation  from  college. 


168 


Gardner,  Carton,  Douglas, 

Chilgren  &  Waud 
[now:  Gardner,  Carton  &  Douglas] 
321  N.  Clark  St. 
Chicago,  Illinois  60610 

Gardner,  Carton,  Douglas, 

Chilgren  &  Waud 
[Gardner,  Carton  &  Douglas] 
321  N.  Clark  St. 
Chicago,  Illinois  60610 

Cook  County  Legal  Assistance  Fndtn  1968-70 

1146  Westgate  St.  Staff  Attorney 

Oak  Park,  Illinois  60301 


Summer,  1965 
Summer  Associate 


1966-68 
Associate 


Chicago-Kent  IIT  College  of  Law 
3300  South  Federal  St. 
Chicago,  Illinois  60609 

Loyola  University  College  of  Law 
820  North  Michigan  Ave. 
Chicago,  Illinois  60611 


Fall,  1969 
Adjunct  Professor 


Spring,  1970 
Adjunct  Professor 


College  of  Law 
University  of  Toledo 
2801  W.  Bancroft  St. 
Toledo,  Ohio  43606 


1970-79 
Professor 


Lucas  County  Prosecutor 
Lucas  County  Courthouse 
Toledo,  Ohio  43624 

Child  Abuse  Prevention  Center 
[now:  Family  &  Child  Abuse 

Prevention  Center] 
One  Stranahan  Square 
Toledo,  Ohio  43606 


1972-73 

Part-time  Asst .  Prosecutor 


1974-79 
Board  Member 


United  States  Courts 
318  U.S.  Courthouse 
1716  Spielbusch  Ave. 
Toledo,  Ohio  43624 


1979  to  date 

United  States  Magistrate 


Pretrial  Services  Resource  Center 
1325  G  Street,  N.W. 
Washington  D.C.  20005 


1991  to  date 
Board  Member 


169 


Military  Service;  Have  you  had  any  military  service?  If  so, 
give  particulars,  including  the  dates,  branch  of  service,  rank 
or  rate,  serial  nxunber  and  type  of  discharge  received. 

None 

Honors  and  Awards;  List  any  scholarships,  fellowships, 
honorary  degrees,  and  honorary  society  meiaberships  that  you 
believe  would  be  of  interest  to  the  Conunittee. 

Baker  Scholarship  Kenyon  College 

Phi  Beta  Kappa  Kenyon  College 

German  Academic  Exchange  Fellow-   Univ.  of  Freiburg 
ship  and  Fulbright  Travel  Grant    Freiburg,  Germany 

1962-63   ■ 

Fulbright  Research  Fellowship      Law  Faculty 

University  of  Bonn 
Bonn,  Germany 
1977-78 

Bar  Associations;  List  all  bar  associations,  legal  or 
judicial-related  committees  or  conferences  of  which  you  are  or 
have  been  a  member  and  give  the  titles  and  dates  of  any 
offices  which  you  have  held  in  such  groups. 

a.  Bar  Associations 

Chicago  Bar  Association  1966-70 

Chicago  Council  of  Lawyers  1967-70 

Ohio  State  Bar  Association  mid  1970s 

American  Bar  Association  mid  1970s,  1993  to  date 

Federal  Bar  Association  mid  1970s 

Toledo  Bar  Association  1971  to  date 

b.  Judicial-Related  Committees 

Committee  on  Rules  of  Criminal  Procedure  and  Evidence 
American  Bar  Association  1994 

Committee  on  Criminal  Law 

Judicial  Conference  of  the  United  States  1986-92 


170 


U.S.  District  Court,  N.D.  Ohio 

Differentiated  Case  Management  Oversight  Coram.     1991  to  date 

Administrative  Office  of  the  United  States  Courts 
Probation  and  Pretrial  Services  Case  Management  and 
Statistics  Umbrella  Group  1993 

Ohio  Supreme  Court,  Civil  Rules  Subcommittee 

on  Juvenile  Rules  (Co-reporter)  1971-72 

10.  Other  Memberships ;  List  all  organizations  to  which  you  belong 
that  are  active  in  lobbying  before  public  bodies.  Please  list 
all  other  organizations  to  which  you  belong. 

a.  Lobbying  Organizations:  none. 

b.  Other  organizations: 

Pretrial  Services  Resource  Center  1991  to  date 

Board  Member 

Toledo,  Lake  Erie  &  Western  Railway  1993  to  date 

&  Museum 

Maritime  Heritage  Society  1988  to  date 

Great  Lakes  Historical  Society  1979  to  date 

Maumee  Valley  Historical  Society  1983  to  date 

Toledo  Museum  of  Art  1978  to  date 

WGTE-TV/FM  1979  to  date 

History  Group  1986  to  date 

Notre  Dame  Academy  Booster  Club  1993  to  date 

11.  Court  Admission;  List  all  courts  in  which  you  have  been 
admitted  to  practice,  with  dates  of  admission  and  lapses  if 
any  such  memberships  lapsed.  Please  explain  the  reason  for  any 
lapse  of  membership.  Give  the  same  information  for 
administrative  bodies  which  require  special  admission  to 
practice. 

Illinois  Supreme  Court  November  29,  1966 

U.S.  District  Court 

Northern  District  of  Illinois      December  16,  1966 


171 


U.S.  District  Court 

Northern  District  of  Ohio  July  13,  1970 

Ohio  Supreme  Court  March  6,  1972 

United  States  Supreme  Court        June  23,  1980 

12.  Published  Writings;  List  the  titles,  publishers,  and  dates  of 
books,  articles,  reports,  or  other  published  material  you  have 
written  or  edited.  Please  supply  one  copy  of  all  published 
material  not  readily  available  to  the  Committee.  Also,  please 
supply  a  copy  of  all  speeches  by  you  on  issues  involving 
constitutional  law  or  legal  policy.  If  there  were  press 
reports  about  the  speech,  and  they  are  readily  available  to 
you,  please  supply  them. 

a .  Books 

Criminal  Procedure  Handbook        Clark  Boardman  Callahan 
(Annual  book-length  survey  of 
all  reported  federal  criminal 
cases)  1984  -  1993 

The  Law  of  Electronic  Surveillance  Clark  Boardman  Callahan 
(treatise)  1976  (1st  ed.) 

1985  (2ded.,  supplemented 
semi-annually) 

2  Anderson's  Ohio  Family  Law:  Juvenile 

Law  &  Procedure  Anderson  Pub.  Co. 

(treatise;  co-author)         1975  (1st  ed.) 

1989  (2ded.,  supplemented 
annually) 

Juvenile  Law  and  Its  Processes     Michie  Bobbs  Merrill 
(casebook;  co-author)         1980  (1st  ed.) 

1989  (2d  ed. ) 

Criminal  Law  Review  Clark  Boardman  Callahan 

(annual  anthology  of  law      1979  -  1993 
review  articles;  editor) 

b.  Reports 

Report  of  the  National  Commission    Gov't  Printing  Office 
for  the  Review  of  Federal  and      197  6 
State  Laws  Relating  to  Wiretapping 
and  Electronic  Surveillance 


172 


American  Bar  Association  Standards   Little  Brown 
for  Criminal  Justice,  Standards    1980 
Relating  to  Electronic  Surveillance 

c.  Articles 

1 .  Law  Reviews 

Book  Review,  Cases  and  Materials  on  Law  and  Poverty 
84  Harv.  L.  Rev.  262  (1970) 

Juries  for  Juveniles;  Solving  the  Dilemma 

2  Loyola  L.  Rev.  1  (1971) 

Grading  Clinic  Students 

26  J.  Leg.  Ed.  223  (1974) 

The  Impact  of  the  Double  Jeopardy  Clause  on  Juvenile 
Court  Proceedings 

6  U.  Tol.  L.  Rev.  1  (1976) 

Wiretapping  in  West  Germany 

29  Am.  J.  Comp.  Law  607  (1981) 

Polizeiliches  Abhoren  in  den  Vereinigten  Staaten 
und  in  der  Bundesrepublik  Deutschland:  Rechtslage 
und  Praxis  [original  and  translated  versions  submitted] 
1979  Montasschrift  fur  Kriminologie  65 

Das  Abhoren  von  Rechtsanwalten  in  der  USA  [original  and 
translated  versions  submitted] 

1979  Zeitschrift  fur  Rechtspolitik  244 

Die  Kontrolle  der  Nachrichtendienste  in  den  USA  [original  and 
translated  versions  submitted] 

1979  Zeitschrift  fur  Rechtspolitik  20 

2.  Other  Law-Related  Journals 

A  Habeas  Corpus  Primer  for  State  Court 
Defense  Attorneys 

3  Criminal  Law  Journal  of  Ohio  189  (1991) 

Sentencing  Reform  and  Pretrial  Release 

5  Federal  Sentencing  Reporter  220  (1993) 

Bailbondsmen  and  the  Federal  Courts 
57  Federal  Probation  9  (1993) 


173 


3.  Newsletters 

The  following  articles  appeared  in  the  Search  and  Seizure  Law 
Report,  published  by  Clark  Boardman: 

Use  of  Oral  Testimony  to  Supplement  an  Incomplete  Affidavit 
(April,  1974) 

Electronic  Beepers  (April,  1977) 

Suppression  of  Electronic  Surveillance  Evidence  (Dec,  1977) 

Interspousal  Wiretapping  (Nov.,  1978) 

Dalia  v.  U.S.  and  Smith  v.  Maryland:  Surveillance  Outside 
Scope  of  Title  III  (Aug.,  1979) 

Payton  v.  New  York:  Arrest  Warrant  Required  for  Arrest  in 
Suspect's  Home  (June,  1980) 

Searches  for  Business  Records,  Books  and  Similar  Documents 
(Feb.,  1981) 

Michigan  v.  Summers:  Detentions  Permitted  While  Search  Warrant 
is  Executed  (Aug.,  1981) 

An  Overview  of  Recent  Developments  in  Fourth  Amendment  Law 
(March,  1982) 

Nighttime  Searches  (Dec,  1982) 

Overview  of  Recent  Developments  in  Fourth  Amendment  Law 
(March-April,  1984) 

Electronic  Surveillance  by  Consent  Under  State  Law 
(Nov.,  1984) 

Overview  of  Recent  Developments  in  Fourth  Amendment  Law 
(March,  1985) 

Overview  of  Recent  Supreme  Court  Decisions  on  the  Fourth 
Amendment  (Sept.,  1986) 

Privacy  of  Electronic  Communications  Under  Title  III 
(March-April,  1987) 

The  Supreme  Court's  1987-88  Fourth,  Fifth,  and  Sixth 
Amendment  Cases  (July,  1988) 

Warrantless  Searches  of  Inbound  Mail  From  Foreign  Countries 
(March-April,  1989) 


174 


An  Overview  of  the  Supreme  Court's  Fourth  and  Fifth 
Amendment  Decisions  in  the  1988-89  Term  (Nov.,  1989) 

d.   Speeches 


During  the  past  twenty  years,  I  have  given  numerous  speeches, 
most  of  which  have  been  presented  to  lawyers  or  judges.  Most 
of  these  speeches,  talks,  or  seminars  have  involved  either 
civil  practice  and  procedure,  criminal  law,  or  criminal 
procedure,  and  many  have  discussed  constitutional  or  legal 
policy  issues. 

It  is  usually  not  my  practice  to  write  out  my  speeches;  I 
talk,  rather,  from  notes  and  other  materials  which  I  normally 
discard  afterwards.  Thus,  except  for  the  first  two  items,  I  do 
not  have  copies  of  any  speeches  to  submit.  A  brief  summary  of 
the  topic  and  content  of  the  other  speeches  of  which  I  still 
have  some  record  is,  however,  submitted. 

Criminal  Defense  Attorneys  of  Michigan:  "Unconventional  Search 
Warrants  and  Orders,"  Nov.  6,  1993 

Federal  Judicial  Ctr.,  Training  Seminar  for  Probation  and 
Pretrial  Services  Officers,  "Remarks  to  New  Probation  and 
Pretrial  Chiefs  Conference,"  May  4,  1990 

Toledo  Women's  Bar  Ass'n,  "Amendments  to  the  Federal  Rules  and 
Local  Practice,"  Jan.  19,  1994 

This  was  talk  about  recent  eimendments  to  the  Rules  of 
Civil  Procedure  and  a  description  of  our  District's 
Differentiated  Case  Management  Program. 

Columbus  Bar  Ass'n,  "Ethical  Issues  for  Litigators,"  Dec.  16, 
1993 

I  was  a  member  of  a  continuing  legal  education  (CLE) 
panel,  along  with  an  Ohio  Supreme  Court  Justice  and  two 
practicing  attorneys.  A  series  of  scenarios  presenting 
ethical  issues  in  civil  cases  was  discussed  informally. 

Toledo  Bar  Ass'n,  "District  Court  Local  Rules,"  Dec.  14,  1993 

This  was  an  overview  for  a  CLE  program  of  our  Local  Civil 
Rules  and  their  implementation. 

Toledo  Bar  Ass'n,  "What  Every  State  Court  Attorney  Must  Know 
About  Federal  Habeas  Corpus,"  Oct.  8,  199  3 

I  summarized  the  general  content  of  my  materials,  "A 
Habeas  Corpus  Primer  for  State  Court  Defense  Attorneys" 
[copy  submitted  under  S12.C.2)  for  a  CLE  program. 

8 


175 


Ohio  State  Bar  Ass'n,  "Trial  Practice  From  the  Bench,"  Oct.  6, 
1993 

1  was  a  CLE  panelist  along  with  two  or  three  state  court 
judges;  we  informally  discussed  practices  and  procedures 
in  our  courts . 

Toledo  Bar  Ass'n,  Alternative  Dispute  Resolution,  Sept.  22, 
1993 

This  was  a  CLE  discussion,  along  with  some  role  playing 
by  me  and  two  attorneys  and  a  commentator,  of  various 
types  of  alternative  dispute  resolution  techniques. 

Toledo  Bar  Ass'n,  "What  Every  State  Court  Attorney  Must  Know 
About  Federal  Habeas  Corpus,"  Feb.  26,  1993 

I  summarized  the  general  content  of  my  materials,  "A 
Habeas  Corpus  Primer  for  State  Court  Defense  Attorneys" 
[copy  submitted  under  S12.C.2]  for  a  CLE  program. 

Columbus  Bar  Ass'n,  "Handling  the  SOB  Litigator,"  Dec.  17, 
1992 

I  was  a  panelist  for  a  CLE  program  along  with  a  state 
court  trial  judge  and  two  practicing  attorneys;  we 
responded  to  scenarios  raising  issues  re.  handling 
conflicts  eunong  counsel. 

Ohio  Ass'n  of  Criminal  Defense  Attorneys:  "Protecting  the 
Right  to  Federal  Review  While  You  are  Still  in  State 
Court, "  Feb.  28,  1992 

I  summarized  the  general  content  of  my  materials,  "A 
Habeas  Corpus  Primer  for  State  Court  Defense  Attorneys" 
[copy  submitted  under  $12. c. 2]  for  a  CLE  progrcun. 

Toledo  Bar  Ass'n,  "What  Every  State  Court  Attorney  Must  Know 
About  Federal  Habeas  Corpus,"  Oct.  4,  1991 

I  summarized  the  general  content  of  my  materials,  "A 
Habeas  Corpus  Primer  for  State  Court  Defense  Attorneys" 
[copy  submitted  under  S12.C.2]  for  a  CLE  program. 

Toledo  Bar  Ass'n,  "Rule  11  Review,"  March  5,  1991 

I  discussed  Rule  11  of  the  Federal  Rules  of  Civil 
Procedure  and  its  application  locally  for  a  CLE  progreun. 


176 


Toledo,  Bar  Ass'n,  "Federal  Sentencing,"  Nov.  26,  1990 

This  was  a  CLE  prograin,  which  I  moderated,  discussing 
practices  under  the  Federal  Sentencing  Guidelines. 

Ohio  Auto  Theft  Investigators'  Ass'n,  "Principles  of  Search 
and  Seizure,"  Sept.  13,  1990 

This  was  a  speech  for  insurance  company  employees  and  law 
enforcement  officers  about  basic  Fourth  Amendment 
doctrines . 

American  CLE  Seminars,  "Search  and  Seizure,"  May  22,  1990 

This  was  an  overview  of  recent  developments  in  the  law  of 
search  and  seizure  for  a  CLE  seminar. 

Ohio  Judicial  College,  "Ohio's  Electronic  Surveillance  Law," 
May  21,  1987 

This  was  a  description  of  Ohio's  newly  enacted  electronic 
surveillance  statute  and  its  federal  counterpart  for  an 
Ohio  appellate  judge's  seminar. 

Ohio  Academy  of  Trial  Lawyers,  "Federal  Habeas  Corpus  Relief," 
Feb.  13,  1987 

I  discussed  general  principles  of  federal  habeas  corpus 
for  a  criminal  defense  attorneys'  CLE  program. 

13.  Health;  What  is  the  present  state  of  your  health?  List  the 
date  of  your  last  physical  examination. 

a.  Health;  excellent 

b.  Date  of  Last  Physical  Examination;  February  11,  1993 

14.  Judicial  Office;  State  (chronologically)  any  judicial  offices 
you  have  held,  whether  such  position  was  elected  or  ap(>ointed, 
and  a  description  of  the  jurisdiction  of  each  such  court. 

United  States  Magistrate 

Northern  District  of  Ohio  1979  to  date 

Appointed  by  the  District  Judges 

Federal  Court  with  general  trial  jurisdiction 

15.  Citations ;  If  you  are  or  have  been  a  judge,  provide;  (1) 
citations  for  the  ten  most  significant  opinions  you  have 
written;   (2)   a  short  summary  of  and  citations   for  all 
appellate  opinions  where  your  decisions  were  reversed  or  where 

10 


177 


your  judgment  was  affirmed  with  significant  criticism  of  your 
substantive  or  procedural  rulings;  and  (3)  citations  for  your 
significant  opinions  on  federal  and  state  constitutional 
issues,  together  with  the  citation  of  appellate  court  rulings 
on  such  opinions.  If  any  of  the  opinions  listed  were  not 
officially  reported,  please  provide  copies  of  the  opinions. 

a.    Ten  Most  Significant  Decisions 

Central  Residents  Council,  Inc.  v.  Lucas  Metropolitan 
Housing  Authority.  No.  C85-7610  (Dec.  14,  1989). 

In  this  opinion,  I  concluded  that  the  plaintiffs  were 
prevailing  parties  and  that  they  were  entitled  to 
attorneys'  fees.  The  important  aspect  of  this  decision 
was  my  discussion  of  standards  for  review  of  petitions 
for  attorneys'  fees  filed  by  prevailing  counsel  in  civil 
rights  cases,  and,  as  well,  evaluation  of  the  role  of  the 
court  in  such  circumstances .  My  approach  was  adopted  by 
Judge  Potter. 

Cheetwood  v.  Roberts.  No.  3:90CV7432  (Jan.  15,  1993) 

This  is  a  Securities  and  RICO  case  in  which  I  concluded 
that  the  plaintiffs  had  failed  to  file  their  complaint 
within  the  period  of  limitations.  The  case,  which  has 
settled,  raised  interesting  allegations  of  fraud  and 
other  wrongdoing  involving  the  sale  of  shares  in  real 
estate  developments. 

In  re  Grand  Jury  Investigation  Art  Materials  Industry. 
No.  Misc.  81-61  (Nov.  16,  1981). 

I  rejected  claims  by  state  attorneys  general  that  they 
were  entitled  to  access  to  federal  anti-trust  grand  jury 
materials.  An  appeal  was  dismissed  voluntarily.  At  the 
time  that  this  opinion  was  written,  there  was 
considerable  interest,  particularly  on  the  part  of 
counsel  for  public  institutions  that  desired  to  pursue 
anti-trust  civil  claims  after  investigation  by  a  federal 
grand  jury,  in  the  issues  that  it  discusses.  The  position 
that  I  took  was  later  adopted  in  another  case  by  the 
Supreme  Court . 

Kreimes  v.  Dep't  of  the  Treasury,  No.  C  79-264  (Nov.  9. 
1983). 

This  was  a  suit  by  taxpayers  to  recover  taxes  that  had 
been  paid  following  disallowance  of  a  catastrophic  loss 
deduction.  After  return  of  a  verdict  in  favor  of  the 
plaintiffs,  they  sought  an  award  of  fees  under  the  Equal 
Access  to  Justice  Act.   I  granted  their  request.  My 

11 


178 


decision  was  affirmed  by  the  Sixth  Circuit.  This  was  one 
of  the  first  decisions  construing  and  applying  the  Equal 
Access  to  Justice  Act. 

Seilon  v.  Lamb.  No  C83-314  (July  27,  1983). 

This  was  a  securities  case  in  which  I  concluded  after 
lengthy  proceedings  that  a  violation  of  applicable 
securities  laws  had  occurred  and  recommended  appropriate 
relief.  The  case  involved  complex  securities  law  issues. 
Judge  Potter  affirmed  my  decision.  An  appeal  was 
dismissed  voluntarily. 

Sharp  V.  Owens  Corning  Fiberqlas ,  No.  80-450  (Oct.  20, 
1983,  Aug.  2,  1984). 

This  was  a  class  action  employment  discrimination  case. 
These  decisions  involve  unusual  issues  that  arose  after 
the  defendants  had  filed  a  motion  to  remove  the  class 
representatives.  The  motion  to  remove  class 
representatives  was  filed  after  the  lawyer  for  the 
plaintiff  class  had  sued  three  of  the  class 
representatives  in  state  court  for  non-payment  of 
litigation  costs. 

Following  a  hearing,  I  ruled  that  the  representatives 
should  be  removed,  the  lawyer  should  be  disqualified  as 
class  counsel,  and  the  remaining  class  representatives 
should  undertake  to  secure  new  counsel  independent  of 
counsel  who  had  been  disqualified.  Judge  Walinski  upheld 
that  ruling. 

Thereafter,  the  defendants  challenged  the  compliance  of 
the  remaining  class  representatives  with  the  directive 
that  they  secure  counsel  for  the  class  independent  of  the 
attorney  who  had  been  disqualified  as  class  counsel.  I 
concluded  that  the  remaining  class  representatives  had 
not  obtained  counsel  who  were  independent  of  the  former 
class  counsel,  and  I  recommended  that  class  certification 
be  denied.  This  ruling  was  also  upheld  by  Judge  Walinski. 
A  subsequent  appeal  was  dismissed  voluntarily. 

Both  of  my  decisions  resulted  from  unusual  circumstances 
that  had  no  duplicate  in  any  decision  that  I  was  able  to 
locate. 

The  attorney  whose  removal  I  ordered  later  sued  me  and 
filed  judicial  misconduct  complaints  against  me  and  Judge 
Walinski.  Those  matters  are  discussed  in  my  answers  to 
Questions  9  and  10  in  Section  IV. 


12 


179 


Shellhanuner  v.  Lewallan.  No.  C82-689  (Nov.  22,  1983). 

This  was  a  case  brought  under  the  Fair  Housing  Act  in 
which  the  plaintiffs,  a  husband  and  wife,  claimed  that 
their  tenancy  had  been  terminated  by  the  landlord  after 
the  wif3  had  refused  to  engage  in  sexual  activities  with 
him.  I  was  the  first  judicial  officer  to  hold  that  sexual 
harassment  of  the  sort  alleged  in  the  complaint 
constituted  unlawful  discrimination  on  the  basis  of 
gender  under  that  statute.  The  Sixth  Circuit  upheld  the 
outcome  of  this  case  on  appeal. 

United  States  v.  Yee,  129  F.R.D.  629  (N.D.  Ohio  1990). 
United  States  v.  Yee.  134  F.R.D.  161  (N.D.  Ohio  1990), 
aff'd  sub  nom.  United  States  v.  Bonds.     F.3d      (6th 
Cir.  1993) (Slip  Op.  Nos .  91-3608/3609/3610,  Dec.  15, 
1993) 

The  government  in  this  case  undertook  to  obtain  approval 
to  use  DNA  evidence.  This  case  involved  the  first 
extensive  challenge  in  a  federal  court  to  such  evidence, 
and  the  record  that  I  developed  during  five  weeks  of 
hearings  has  been  used  in  state  and  federal  courts 
throughout  the  country  in  ruling  on  the  admissibility  of 
DNA  evidence . 

In  the  first  decision,  I  granted  the  defendants'  request 
for  extensive  prehearing  discovery.  That  decision,  which 
was  not  appealed  by  the  government  to  the  District  Judge, 
was  the  first  instance  in  which  a  DNA  laboratory  was 
required  to  divulge  substantial  information  about  its 
procedures . 

In  the  second  decision,  I  held  that  DNA  evidence  obtained 
by  the  F.B.I. 's  protocol  and  procedures  met  standards  of 
admissibility.  That  decision,  which  is  the  most  extensive 
reported  examination  of  the  admissibility  of  DNA 
evidence,  was  affirmed  by  the  Sixth  Circuit  in  United 
States  V.  Bonds.  F.2d  (6th  Cir.  1993)(Slip. 
Op.,  No.  91-3608/3609/3610,  Dec.  15,  1993). 

Women's  Pavilion.  Inc.  v.  Moriaritv.  No.  91CV7250  (April 
6,  1992,  April  8,  1992) . 

This  case  involved  a  suit  by  a  local  abortion  clinic 
against  anti-abortionists  who  had,  according  to  the 
complaint,  interfered  unlawfully  with  the  clinic's 
legitimate  operations. 

In  the  first  decision  I  held  that  the  clinic  and  its 
physician  did  not  have  to  disclose  the  identities  of  the 
clinic's  patients.  This  decision  involved  important 

13 


180 


questions  of  privilege  and  discovery  in  the  context  of 
this  and  similar  cases. 

In  the  second  decision  I  held  that  an  individual 
plaintiff:  a)  could  sue  the  defendants  under  RICO  (though 
her  pleading  in  this  case  was  deficient),  b)  could  not 
maintain  claims  of  trespass  and  interference  with  her 
employment  contract,  and  c)  could  assert  an  assault 
claim. 

In  addition,  the  second  decision  also  held  that  a 
corporate  plaintiff:  a)  could  not  bring  an  assault  and 
battery  claim,  b)  could  proceed  to  trial  on  its 
interference  with  contract  claim,  c)  sue  on  behalf  of  its 
patients,  staff,  and  employees,  and  d)  maintain  its  RICO 
claim  against  the  defendants  without  alleging  economic 
harm. 

Judge  Potter  rejected  my  ruling  as  to  the  RICO  claim  and 
dismissed  the  case  (remanding  the  state  claims  back  to 
state  court) .  The  approach  taken  in  my  decision  on  the 
use  of  RICO  by  abortion  clinics  conforms  to  the  Supreme 
Court's  subsequent  decision  in  National  Organization  for 
Women  v.  Scheidler.  U.S.  ,  114  S.Ct. 
(1994) . 

In  re  John  W.  Young  v.  Endsley.  No.  C86-7903  (May  2, 
1988),  rev ' d ,  872  F.2d  176  (6th  Cir.  1989) 

In  this  case  I  held  that  a  statutory  limitation  on  the 
liability  of  shipowners  was  not  applicable  to  the  owners 
of  pleasure  boats.  My  decision  was  reversed  by  the  Sixth 
Circuit.  The  case  is  significant  because  it  addresses  the 
issue  of  whether  persons  injured  in  boating  accidents 
involving  pleasure  craft  can  recover  damages  in  excess  of 
the  value  (which  is  often  quite  low)  of  the  boat  and  its 
goods . 

b.  Reversals  by  the  Court  of  Appeals 

D.  Ct.  No.      Caption  and  Summary 
Ct .  App .  No . 

77-372         Hand  v.  Central  Transport,  Inc. 

84-3850 

This  was  an  antitrust  case  in  which  I 
recommended  that  summary  judgment  be  granted 
in  the  defendant's  favor;  that  recommendation 
was  upheld  by  the  District  Judge. 

The  court  of  appeals  reversed.  Hand  v.  Central 
Transport.  779  F.2d  8  (6th  Cir.  1985).  The 

14 


181 


court  held  that  the  proper  standard  had  been 
applied,  but  that  evidence  submitted  by  the 
plaintiff  in  his  objections  to  the  District 
Judge  should  have  been  taken  into  account. 

78-174         Heid  v.  Secretary  of  H.H.S. 
83-3747  

This  was  a  social  security  disability  case  in 
which  I  entered  an  order  denying  benefits  to 
the  plaintiff. 

The  court  of  appeals  remanded  to  the  Secretary 
for  further  consideration  in  light  of  a 
statute  that  required  such  result  for  cases 
pending  in  the  federal  courts  as  of  Sept.  19, 
1984  (my  decision  had  been  entered  on  Sept. 
14,  1983). 

1^'^^  Lowe  V.  Chem-Trol  Chemical  Co..  Inc. 

This  was  an  action  under  the  Vietnam  Era 
Veterans  Readjustment  Act  in  which  I 
recommended  that  summary  judgment  be  entered 
for  the  plaintiffs;  that  recommendation  was 
upheld  by  the  District  Judge. 

The  court  of  appeals  reversed.  Raypole  v. 
Chem-Trol  Chemical  Co..  Inc. .  ^  754  F.2d  169 
(6th  Cir.  1985).  Noting  that  the  case  was  one 
of  first  impression,  the  appellate  court  held 
that  contributions  that  I  concluded  had  been 
required  under  the  Act  had  not  been  mandated 
by  the  Act. 

l^'ll"^                       Ravpole  v.  Chemi-trol  Chemical  Co..  inc. 
84-3041  '  

This  is  a  companion  case  to  the  preceding 
case. 

79-328         Philips  v.  Secretary  of  H.H.S. 
8 1—3130 

This  is  a  social  security  case  in  which  I 
recommended  that  benefits  not  be  awarded;  the 
District  Judge  upheld  that  recommendation. 

The  court  of  appeals  held  that  substantial 
evidence  did  not  support  the  Secretary's 
decision  to  deny  benefits. 


15 


182 


79-493 
80-3764 


81-63 
82-3329 


Linton  v.  Perini 

This  was  a  habeas  corpus  case  in  which  I 
reconunended  that  relief  be  denied;  that 
reconunendation  was  upheld  by  the  District 
Judge . 

The  court  of  appeals,  Linton  v.  Perini.  656 
F.2d  207  (6th  Cir.  1981),  held  that, 
regardless  of  the  absence  of  prejudice  to  the 
defendant,  the  petitioner's  Sixth  Amendment 
right  to  counsel  had  been  denied  when  a 
continuance  by  newly  retained  counsel  had  been 
denied,  and  trial  had  conunenced  ten  days  after 
that  lawyer  had  first  appeared. 

Smith  V.  Perini 

This  was  a  habeas  corpus  case  in  which  I 
recommended  dismissal  on  the  basis  that  the 
petitioner  had  failed  to  exhaust  his  state 
court  remedies  and  that,  in  any  event,  his 
claims  were  without  merit.  My  recommendation 
was  adopted  by  the  District  Judge. 

The  court  of  appeals,  agreeing  that  exhaustion 
had  not  occurred,  ordered  that  the  case  be 
dismissed  for  want  of  exhaustion  without 
prejudice  to  the  petitioner  to  relitigate  the 
merits  of  his  claims  once  exhaustion  had  been 
accomplished.  Between  the  filing  of  my  Report 
and  Recommendation  and  the  court  of  appeal's 
reversal,  the  Supreme  Court  had  held  in  Rose 
V.  Lundy.  455  U.S.  509  (1982),  that  where  a 
petition  contains  unexhausted  claims,  it  must 
be  dismissed  without  consideration  of  the 
merits . 


81-436 

84-3777 

86-3421 


Nichols  V.  Perini 

This  was  a  habeas  corpus  case  in  which  I  twice 
recommended  that  relief  be  granted  on  the 
basis  that  the  petitioner  had  not  been 
informed  adequately  about  the  sentencing 
consequences  of  a  plea  of  guilty. 

My  first  Report  and  Recommendation,  which  had 
been  adopted  by  the  District  Judge,  was 
reversed  on  the  basis  that  I  had 
misinterpreted  the  applicable  sentencing 
statute.  The  case  was  remanded,  and  I  again 

16 


183 


found  that  the  petitioner  had  not  understood 
the  sentencing  consequences.  That  decision  was 
upheld  by  the  District  Judge 

The  court  of  appeals  reversed.  Nichols  v. 
Perini,  818  F.2d  554  {6th  Cir.  1987).  The 
court  held  that  I  had  failed  to  take  into 
account  factual  findings  by  the  Ohio  courts  In 
their  review  of  the  petitioner's  claims. 

81-499         Hurst  v.  Schweiker 

83-3066 

This  was  a  social  security  case  in  which  I 
recommended  denial  of  benefits  and  the 
recommendation  was  adopted  by  the  District 
Judge . 

The  court  of  appeals.  Hurst  v.  Schweiker,  725 
F.2d  53  (6th  Cir.  1984),  held  that  substantial 
evidence  did  not  support  the  denial  of 
benefits . 

81-594         Billings  v.  Bharmota 

84-3453 

This  was  a  prisoner  civil  rights  case  in  which 
I  recommended  that  the  defendant's  motion  for 
summary  judgment  be  denied.  That 
recommendation  was  upheld  by  the  District 
Judge . 

The  court  of  appeals  reversed  on  the  basis 
that  the  defendant's  conduct  had  not  shown 
deliberate  indifference  to  the  plaintiff's 
medical  needs . 

81-604         Bell  &  Beckwith  v.  USA 

83-3582 

This  was  an  interpleader  action  brought  by  a 
stock  broker  to  resolve  the  ownership  of  funds 
in  its  custody.  The  parties  consented  to  my 
jurisdiction,  and,  following  a  pretrial 
conference,  I  entered  an  order  directing 
disbursement  of  the  funds . 

The  court  of  appeals  reversed.  Bell  &  Beckwith 
V.  United  States.  766  F.2d  910  (6th  Cir. 
1985),  on  the  basis  that  there  had  been  no 
federal  question  jurisdictional  basis  for 
entertaining  the  interpleader  action. 


17 


184 


81-774         Riverview  Investments  v.  Ottawa  County 
84-3445         Community  Improvement  Corp. 

This  was  a  civil  rights  and  antitrust  case  in 
which  the  plainti££,  a  landowner  who  had  an 
agreement  with  a  shopping  center  for 
development  of  his  property,  claimed  that  the 
defendants'  refusal  to  issue  industrial 
revenue  bonds  (such  issuance  being  a  condition 
of  the  plaintiff's  agreement  with  the  shopping 
center)  violated  the  civil  rights  act  and 
antitrust  laws.  I  recommended  summary  judgment 
in  defendants'  favor,  and  that  reconmiendation 
was  approved  by  the  District  Judge. 

The  court  of  appeals  held  that  the  decision 
regarding  the  civil  rights  -claim  had  been 
correct;  it  remanded  on  the  antitrust  claim 
for  further  development  of  the  record  in  light 
of  intervening  Supreme  Court  decisions. 
Riverview  Investments.  Inc.  v.  Ottawa  County 
Improvement  Corp.  .  769  F.2d  324  (6th  Cir. 
1985) . 

82-10  Hazelwood  v.  Bharmota 

83-3347 

83-3202  This  was  a  medical  malpractice  case  in  which  I 
recommended  that  summary  judgment  be  granted 
to  the  defendants  because  the  plaintiff  failed 
to  file  the  complaint  within  the  applicable 
limitations  period.  The  recommendation  was 
adopted  by  the  District  Judge . 

The  court  of  appeals  vacated  and  remanded  for 
further  consideration  in  light  of  an 
intervening  decision  by  the  Ohio  Supreme 
Court . 

82-208         Oqlebay  Norton  Co.  v.  CSX  Corp. 

85-3093 

85-3069  This  was  an  action  brought  by  a  shipowner 
against  the  operator  of  a  dock,  in  which  the 
plaintiff  sought  indemnification  from  the 
dockowner  after  a  seaman's  claim  against  the 
shipping  company  had  been  settled.  The  parties 
consented  to  my  jurisdiction,  and  I  entered 
judgment  after  a  nonjury  trial  denying  the 
indemnity  claim  but  awarding  contribution. 

The  court  of  appeals  held  that  I  had 
misapplied  the  legal  standard  applicable  to 
the  plaintiff's  indemnity  claim. 

18 


185 


82-528         Franchinni  v.  Secretary  of  H.H.S. 

84-3176 

This  was  a  social  security  disability  case  in 
which  I  recommended  denying  benefits  to  the 
plaintiff.  The  District  Court  upheld  my 
recommendation . 

On  appeal,  the  court  of  appeals  remanded  to 
the  Secretary  for  further  consideration  in 
light  of  a  statute  that  required  such  result 
for  cases  pending  in  the  federal  courts  as  of 
Sept.  19,  1984  (my  decision  had  been  entered 
on  Nov.  22,  1983) . 

82-876  Faust  v.  Heckler 

83-3919 

This  was  a  social  security  case  in  which  I 
ordered  that  benefits  be  denied. 

On  appeal,  the  court  of  appeals  remanded  to 
the  Secretary  for  further  consideration  in 
light  of  a  statute  that  required  such  result 
for  cases  pending  in  the  federal  courts  as  of 
Sept.  19,  1984  (my  decision  had  been  entered 
on  Oct.  25,  1983). 

CR83-129        USA  v.  Bell 

84-3534 

This  was  a  criminal  case  in  which  I 
recommended  that  the  defendant's  motion  to 
suppress  be  granted.  The  basis  for  that 
recommendation  was  a  finding  that  an  F.B.I, 
agent  had  not  had  an  adequate  basis  for 
frisking  the  defendant.  My  recommendation  was 
upheld  by  the  District  Judge. 

The  court  of  appeals  reversed,  United  States 
V.  Bell.  762  F.2d  495  (6th  Cir.  1985),  on  the 
basis  that  the  agent  had  had  a  sufficient 
cause  for  the  frisk. 

83-238         Leal  v.  Perini 

84-3873 

87-3014  This  was  a  habeas  corpus  case  in  which  I  twice 
recommended  that  relief  be  granted  to  the 
petitioner  on  the  basis  that  the  prosecution 
had  improperly  withheld  material  evidence  to 
which  the  petitioner  had  been  entitled  (a 
taped  conversation,  a  prior  inconsistent 
statement  by  the  state's  principal  witness, 
and  lie  detector  results  indicating 
untruthfulness  on  the  part  of  that  witness). 

19 


186 


Each  of  my  recommendations  was  upheld  by  the 
District  Judge. 

In  its  first  decision,  the  court  of  appeals 
remanded  for  further  consideration  in  light  of 
an  intervening  Supreme  Court  decision.  On 
remand,  I  again  recommended  granting  relief, 
and  the  recommendation  was  approved  by  the 
District  Judge. 

In  its  second  decision,  the  court  of  appeals 
held  that  the  evidence  that  had  been 
%nrongfully  withheld  had  not  been  material  to 
the  petitioner's  conviction.  The  petitioner 
has  subsequently  received  a  governor's 
commutation. 

83-266         Steinoraber  v.  Heckler 
84-3348 

This  was  a  social  security  case  in  which  I 

ordered  denial  of  benefits. 

The  court  of  appeals  remanded  to  the  Secretary 
for  further  consideration  in  light  of  evidence 
that  the  plaintiff  had  undergone  back  surgery 
following  entry  of  my  decision  and  while  the 
case  was  pending  before  the  appellate  court. 

83-536         Tiernev  v.  City  of  Toledo 

85-3016 

85-3290        This  was  a  civil  rights  case  brought  by  a 

88-4047  officer  against  the  City  of  Toledo  and  its 
Police  Patrolmens'  Union,  in  which  the 
plaintiff  alleged  that  the  "fair  share" 
agreement  between  the  City  and  Union  violated 
his  First  Amendment  rights  due  to  inadequate 
procedures  for  ensuring  that  the  plaintiff's 
contribution  was  spent  solely  for  collective 
bargaining  purposes . 

The  parties  consented  to  my  jurisdiction. 

Following  an  injunction  hearing,  I  held  that 

the  union's  procedures  met  constitutional 
standards . 

The  court  of  appeals  upheld  that  decision. 
Tiernev  v.  City  of  Toledo.  785  F.2d  310  (6th 
Cir.),  vacated.  475  U.S.  1115  (1986). 
Thereafter,  following  an  intervening  Supreme 
Court  decision,  the  appellate  court's  decision 
was  vacated,  and  it  remanded  the  case  to  me 
for  further  proceedings. 

20 


187 


Following  further  proceedings,  I  ruled  that 
the  union's  revised  procedures  met 
constitutional  requirements . 

That  decision  was  reversed  by  the  Sixth 
Circuit,  Tierney  v.  City  of  Toledo.  824  P. 2d 
1497  {6th  Cir.  1987),  on  the  basis  that  the 
procedures  that  I  had  approved  were  not 
sufficient  to  protect  the  plaintiff's  First 
Amendment  rights. 

Thereafter,  I  again  found  the  union's  plan,  as 
further  revised,  to  be  acceptable.  In 
addition,  I  rejected  the  plaintiff's  demand 
for  extensive  access  to  the  union's  books  and 
records . 

That  decision  was  affirmed  in  part  and 
reversed  in  part  by  the  Sixth  Circuit  in 
Tiernev  v.  City  of  Toledo.  917  F.2d  927  (6th 
Cir.  1990),  with  the  court  directing  further 
proceedings  relative  as  to  whether  the  audit 
procedures  were  adequate  to  verify 
expenditures  and  requiring  me  to  order  the 
union  to  make  specific  disclosures  concerning 
its  income  and  expenditures. 

83-536         Central  States  Southeast  and  Southwest  Area 
84-3869        Pension  Fund  v.  Transservice  Systems.  Inc. 

This  was  an  action  brought  by  a  pension  fund 
to  collect  contributions  from  the  defendant, 
who  was  the  former  employer  of  a  beneficiary 
of  the  fund.  Following  a  nonjury  trial  (the 
parties  having  consented  to  my  jurisdiction), 
I  held  in  favor  of  the  plaintiff. 

The  court  of  appeals  remanded  for  further 
consideration  with  regard  to  an  issue  that  it 
concluded  I  had  not  adequately  considered  and 
for  further  clarification  of  my  original 
decision. 

85-730         Wallace  v.  Hubbard 
84-3274 

This  was  a  pro  se  prisoner  civil  rights  case 
alleging  inadequate  medical  treatment;  the 
only  named  defendant  was  the  warden.  I 
recommended  that  the  defendant's  dismissal 
motion  be  granted;  that  recommendation  was 
adopted  by  the  District  Judge. 


21 


188 


The  court  of  appeals  reversed  on  the  basis 
that  the  plaintiff  should  be  given  time  in 
which  to  undertake  to  amend  his  complaint  to 
state  more  clearly  the  parties  against  whom  he 
was  seeking  relief. 

83-854         Akbar  v.  Seiter 

84-3052 

This  was  a  pro  se  prisoner  civil  rights  case 
in  which  the  plaintiff  claimed  that 
regulations  regarding  clothing  violated  his 
First  Amendment  rights .  I  recommended  that  the 
complaint  be  dismissed  on  the  basis  of  res 
judicata,  and  that  recommendation  was  upheld 
by  the  District  Judge. 

The  court  of  appeals  affirmed  in  part  and 
reversed  in  part,  with  the-  reversal  being 
based  on  the  determination  that  some  of 
plaintiff's  claims  had  not  been  resolved  in 
his  earlier  litigation. 

83-1084        Ward  v.  Secretary  of  H.H.S. 

85-3703 

This  was  a  social  security  case  in  which  I 
recommended  that  benefits  be  denied,  and  that 
recommendation  was  upheld  by  the  District 
Judge . 

The  court  of  appeals  affirmed  in  part  and 
vacated  and  remanded  for  the  purpose  of 
consideration  of  decisions  by  that  court  that 
had  been  rendered  after  the  date  of  my  Report 
and  Recommendation. 

84-7016        Brown  v.  Seiter 

84-3420 

This  was  a  pro  se  prisoner  civil  rights  case, 
in  which  I  recommended  dismissal,  and  that 
recommendation  was  upheld  by  the  District 
Judge . 

The  court  of  appeals  affirmed  in  part  and 

reversed  in  part  on  the  basis  that  the 

complaint  adequately  stated  a  cause  of  action 
as  to  one  of  the  defendants. 

84-7124        McLaughlin  v.  Excel  Wire  &  Cable  Co. 

85-3258 

This  was  an  age  discrimination  case  in  which  I 
recommended  that  summary  judgment  be  granted 
for  the  defendant.  I  concluded  that  plaintiff 
had  not  filed  his  administrative  complaint 

22 


189 


within  the  requisite  period  and  an  election  of 
remedies  precluding  other  claims  had  occurred. 
That  recommendation  was  upheld  by  the  District 
Judge . 

The  court  of  appeals  reversed,  holding  that 
equitable  tolling  had  extended  the  period  for 
filing  and  no  election  of  remedies  had 
occurred . 

84-7388        Crawford  v.  Secretary  of  H.H.S. 

86-3562 

This  was  a  social  security  case  in  which  the 
parties  consented  to  my  jurisdiction  and  in 
which  I  denied  benefits. 

The  court  of  appeals  held  that  substantial 
evidence  had  not  supported  the  Secretary's 
denial  of  benefits. 

84-7623        Hoffman  v.  Glidden 

86-3738 

This  was  an  employment  discrimination  case 
that  was  referred  to  me  for  Special  Master 
hearing.  I  recommended  that  defendant's  motion 
for  summary  judgment  be  granted,  and  that 
recommendation  was  adopted  by  the  District 
Judge . 

The  court  of  appeals  reversed  on  the  basis 
that  there  was  a  genuine  dispute  of  material 
fact  concerning  the  alleged  pretextuality  ot 
the  defendant's  reasons  for  its  actions. 

84-7758        Berry  v.  Secretary  of  H.H.S. 

86-3491 

This  was  a  social  security  case  in  which  the 
parties  consented  to  my  jurisdiction  and  I 
ruled  that  benefits  be  denied. 

The  court  of  appeals  reversed  on  the  basis 
that  the  Secretary's  decision  to  deny  benefits 
was  not  supported  by  substantial  evidence. 

84-7777        Brown  v.  Secretary  of  H.H.S. 

86-3886 

This  was  a  social  security  case  in  which  I 
recommended  that  benefits  be  denied,  and  that 
recommendation  was  upheld  by  the  District 
Judge . 


23 


190 


The  court  of  appeals  reversed  on  the  basis 
that  the  Secretary's  decision  to  deny  benefits 
was  not  supported  by  substantial  evidence. 

84-8054        Canderm.  Inc.  v.  Elder  Pharmaceuticals.  Inc. 

87-3352 

This  was  a  breach  of  contract  and  tortious 
interference  with  contractual  relations  case 
in  which  the  parties  consented  to  my 
jurisdiction.  Prior  to  trial  (which  resulted 
in  a  verdict  for  the  plaintiff),  I  dismissed 
plaintiff's  claims  as  to  one  defendant  and  its 
punitive  damages  claim;  those  rulings  were 
upheld  by  the  court  of  appeals .  I  also  had 
ruled  prior  to  trial  that  the  defendant  had 
not  been  entitled  to  advance  a  particular 
defense. 

That  ruling  was  reversed  on  appeal  on  the 
basis  that  there  were  material  disputes  of 
fact  requiring  determination  of  by  the  jury. 
Canderm.  Inc.  v.  Elder  Pharmaceutical.  Inc.. 
862  F.2d  597  (6th  Cir.  1988). 

84-8088        Hardin  v.  Secretary  of  H.H.S. 

85-3967 

This  was  a  social  security  case  in  which  the 
parties  had  consented  to  my  jurisdiction  and  I 
ordered  that  benefits  be  awarded. 

The  court  of  appeals  remanded  on  the  basis  of 
an  intervening  decision  by  that  court. 

85-7464        In  re  Bell  &  Beckwith 

87-3006 

This  was  an  action  brought  by  the  trustee  of  a 
bankrupt  stock  brokerage  to  recoup  funds  paid 
to  an  attorney  who  had  been  retained  by  the 
firm's  principal  after  the  principal's  fraud 
had  been  uncovered.  The  parties  consented  to 
my  jurisdiction.  Following  trial,  I  found  that 
the  attorney  had  neither  known  nor  had  reason 
to  know  that  the  funds  that  he  had  been  paid 
at  the  outset  of  his  representation  of  the 
principal  were  proceeds  of  the  fraud. 

The  court  of  appeals  reversed,  holding  that 
the  attorney  had  been  under  a  duty  of  incpiiry 
and  thus  was  chargeable  with  knowledge  that 
the  funds  he  had  received  had  derived  from  the 
fraud.  In  re  Bell  &  Beckwith.  838  F.2d  844 
(6th  Cir.  1988) . 

24 


191 


86-7903 
88-3483 


87-7684 
89-3750 
89-3777 


89-7031 
90-3371 


90CV7617 
92-3821 


Ends lev  v.  Young 

This  was  an  admiralty  case  in  which  the 
parties  consented  to  my  jurisdiction.  I 
granted  summary  judgment  in  favor  of  a  party 
injured  by  an  explosion  on  a  pleasure  boat. 
That  judgment  was  limited  to  the  issue  of 
liability:  I  held  that  a  statutory  limitation 
of  a  vessel  owner's  liability  was  not 
applicable  to  the  owners  of  pleasure  boats. 

The  court  of  appeals,  reversed,  holding  that 
the  statutory  limitation  of  liability  was 
applicable  to  commercial  ships  and  pleasure 
craft  alike.  In  re  John  Young.  872  F.2d  176 
(6th  Cir.  1989) . 

Rodriguez  v.  Frankenmuth  Mutual  Ins.  Co. 

This  was  a  diversity  case  in  which,  following 
trial  and  return  of  a  jury  verdict  in  favor  of 
the  plaintiff,  I  entered  judgment 
notwithstanding  the  verdict  in  favor  of  the 
defendant.  I  held  that  there  had  been  a 
failure  of  proof  as  to  proximate  cause  and 
damages . 

The  court  of  appeals  reversed,  holding  that 
adequate  evidence  supported  the  jury's 
verdict. 

Simpson  v.  Diversitech  General.  Inc. 

This  was  an  employment  discrimination  case  in 
which  the  parties  consented  to  my 
jurisdiction.  Following  trial,  I  entered 
judgment  for  the  defendant  on  the  basis  that 
defendant  had  met  its  burden  of  proof  in  a 
"mixed  motives"  case  that  its  decisions  would 
have  been  the  same  without  regard  to  the 
racial  animus  of  one  of  its  employees. 

The  court  of  appeals  held  that  the  defendant 
had  not  met  that  burden. 

Fifth  Third  Bank  v.  Dziersk.  et  al . 

This  was  a  diversity  case  in  which  I  granted 
summary  judgment  in  favor  of  the  plaintiff, 
which  claimed  that  the  defendant  bank  had 
wrongfully  accepted  deposit  of  a  check  from 
the  plaintiff  payable  to  two   individuals 

25 


192 


without  the  signature  of  one  of  the 
individuals  having  been  subscribed  to  the 
check. 

The  court  of  appeals  reversed,  holding  that  I 
had  erred  when  I  declined  to  permit  the 
defendant  bank  to  assert  a  contributory 
negligence  defense. 

I  am  aware  of  no  decision  by  the  court  of  appeals  in 
which,  though  my  decisions  were  affirmed,  the  court  was 
significantly  critical  of  my  substantive  or  procedural 
rulings. 

Significant  Federal  or  State  Constitutional  Decisions 

In  re  Affidavit  for  Issuance  of  Multiple  Search  Warrants. 
No.  85-7070M  (Dec.  5,  1985). 

In  this  case  an  individual  whose  property  had  been  seized 
claimed  that  its  continued  retention  by  the  government 
constituted  a  violation  of  due  process.  I  rejected  his 
claim,  but  directed  the  government  to  proceed  with  a 
forfeiture  proceeding  by  a  date  certain.  There  was  no 
appeal.  The  case  was  significant  because  it  raised 
interesting  issues  of  the  ability  of  the  state  to  hold 
seized  property  without  proceeding  promptly  with  further 
investigation  and  return  of  criminal  charges . 

Barnett  v.  Bell.  No.  C  80-563  (July  2,  1986). 

Plaintiffs  in  this  case  contended  that  the  conditions  at 
the  Hancock  County  Jail  violated  the  Eighth  Amendment.  I 
concluded  that  the  conditions  were  not  constitutionally 
defective  and  that  the  plaintiffs  were  not  entitled  to 
relief.  Judge  Potter  upheld  my  ruling.  An  appeal  was 
voluntarily  dismissed.  The  significance  of  the  case 
related  to  its  institutional  reform  aspects. 

Culp  V.  City  of  Toledo.  No.  C  88-7760  (July  30,  1990). 

This  was  a  suit  by  a  dismissed  employee  of  the  City  of 
Toledo,  who  claimed  that  the  Federal  Constitution  and 
state  law  had  been  violated  by  the  means  by  which  he  had 
been  terminated.  I  rejected  many  of  his  claims,  but  also 
concluded  that  his  right  to  due  process  had  been 
violated.  Following  my  ruling,  the  case  was  settled.  The 
case  was  significant  because  it  involved  an 
interpretation  in  light  of  the  due  process  clause  of  a 
provision  of  the  City  charter  requiring  that  terminations 
be  based  on  cause. 


26 


193 


Doe  V.  City  of  Toledo.  C  81-772  (March  20,  1986). 

This  case  involved  an  application  by  a  television  station 
to  disclose  the  name  of  a  plaintiff  who  had  been 
permitted  to  proceed  anonymously  with  a  civil  claim  to 
recover  funds  that  had  been  seized  by  a  police  officer. 
I  held  that  such  disclosure  should  occur.  There  was  no 
appeal.  The  significance  of  the  case  resulted  from  the 
conflict  between  the  media's  right  of  access  and  the 
individual's  right  of  privacy  where  no  criminal  charges 
were  pending. 

Downton  v.  Perini.  511  F.  Supp.  258  (N.D.  Ohio  1981). 

This  was  a  case  of  first  impression  in  any  federal  court. 
I  held  that  an  attorney's  threat  to  withdraw  from  further 
representing  his  client  in  a  capital  murder  case  unless 
the  client  accepted  his  recommendation  to  plead  guilty 
led  to  an  involuntary  plea  and  denial  of  the  right  to 
counsel.  My  recommendation  that  habeas  relief  be  granted 
was  upheld.  An  appeal  was  dismissed  voluntarily. 

Glover  v.  McMackin.  No.  3:90CV7232  (Sept.  18,  1990, 
July  23,  1992)  . 

This  was  a  habeas  corpus  case  in  which  I  concluded  that 
the  defendant's  conviction  violated  the  double  jeopardy 
clause  of  the  Fifth  Amendment.  The  Sixth  Circuit  remanded 
for  further  evidence.  Glover  v.  McMackin.  950  F.2d  1236 
(6th  Cir.  1990).  After  taking  further  evidence,  I  again 
concluded  that  the  double  jeopardy  clause  had  been 
violated,  and  recommended  that  relief  be  granted.  Judge 
Potter  upheld  my  ruling.  There  was  no  appeal.  The  case 
involved  a  significant  issue  under  the  double  jeopardy 
clause. 

Hernandez  v.  County  of  Seneca.  No.  C  82-475  (July  20, 
1983)  . 

This  was  a  civil  rights  case  challenging  the  conditions 
of  confinement  at  the  Seneca  County  Jail.  Following  an 
injunction  hearing,  I  concluded  that  the  conditions  with 
regard  to  danger  of  and  from  fire  justified  granting 
injunctive  relief.  There  was  no  appeal.  The  case  was 
important  because  it  involved  important  issues  under  the 
Eighth  Amendment  and  resulted,  somewhat  unusually,  in  a 
order  directing  that  a  county  jail  be  closed,  rather  then 
rehabilitated  or  reconstructed  to  conform  to 
constitutional  requirements. 

Tierney  v.  City  of  Toledo.  No.  C83-430  (Aug.  2,  1984; 
Dec.  11,  1984;  March  26,  1985;  April  27,  1988;  Nov.  8, 

27 


194 


1988).  Court  of  Appeals,  Tiernev  v.  City  of  Toledo.  (No. 
85-3016  &  85-3290),  Jan.  14,  1986;  824  F.2d  1497  (6th 
Cir.  1987);  917  F.2d  927  (6th  Cir.  1990). 

This  is  a  series  of  opinions  involving  a  challenge  to  the 
union's  agency  fee  rebate  procedure.  I  initially  held 
that  the  procedures  afforded  appropriate  constitutional 
protection  to  the  First  Amendment  interests  of  the 
plaintiffs.  That  decision  was  affirmed  in  an  unpublished 
opinion  on  appeal  by  the  Sixth  Circuit. 

Thereafter,  the  Supreme  Court  decided  Chicago  Teachers 
Union  v.  Hudson.  475  U.S.  252  (1986).  That  Court  also 
vacated  the  Sixth  Circuit's  affirmance  and  remanded  for 
further  consideration  in  light  of  Hudson.  When  the  case 
returned  to  me,  I  found  the  changes  that  had  been 
instituted  in  the  union's  plan  were  -  adequate .  That 
decision  was  reversed  by  the  Sixth  Circuit.  Tierney  v. 
City  of  Toledo.  824  F.2d  1497  (6th  Cir.  1987). 

After  that  decision,  I  again  found  the  plan,  as  amended, 
acceptable.  In  addition,  I  rejected  the  plaintiff's 
demand  for  extensive  access  to  the  union's  books  and 
records.  This  decision  was  reversed  in  part  and  affirmed 
in  part  by  the  Sixth  Circuit.  Tierney  v.  City  of  Toledo. 
917  F.2d  927  (6th  Cir.  1990).  Thereafter  the  parties 
negotiated  a  settlement. 

This  series  of  opinions  was  significant  because  they 
involved  important  and,  at  the  time  they  were  decided, 
unsettled  issues  under  the  First  Amendment  about  the 
constitutionality  of  "fair  share"  programs  and  related 
procedural  questions. 


In  addition  to  the  foregoing  decisions,  the  following 
were  cases  raising  constitutional  issues  in  which  my 
decisions  were  reversed  by  the  Court  of  Appeals. 
Summaries  of  these  decisions  appear  in  §15. b.  and  copies 
of  the  opinions  are  included  with  the  other  materials 
submitted  with  regard  to  that  section. 

Brown  V.  Seiter.  No.  C84-7016 

Billings  v.  Bharmota.  No.  C81-594 

Leal  V.  Perini.  No.  C83-238 

Linton  v.  Perini.  No.  C79-493 

Nichols  V.  Perini.  No.  81-436 

28 


195 


Riverview   Investments   v.   Ottawa   County   CommunitY 
Improvement  Corp. .  No.  C84-3445 

USA  V.  Bell.  No.  CR83-129 

16.  Public  Office;  State  (chronologically)  any  public  offices  you 
have  held,  other  than  judicial  offices,  including  the  terms  of 
service  and  whether  such  positions  were  elected  or  appointed. 
State  (chronologically)  any  unsuccessful  candidacies  for 
elective  public  office. 

Lucas  County  Mental  Health  Board        1981-87 
Board  Member  (appointed) 

Lucas  County  Children  Services  Board    1987-92 
Board  Member  (appointed) 

Childrens'  Trust  Fund  1986-92 

Board  Member  (appointed) 

Juvenile  Justice  Advisory  Board 

Board  Member  (appointed)  1990-92 

I  have  never  been  a  candidate  for  elective  public 
office. 

17 .  Legal  Career; 

a.    Describe  chronologically  your  legal  career  after 
graduation  from  law  school  including; 

1.  whether  you  served  as  a  clerk  to  a  judge,  and  if  so, 
the  name  of  the  judge,  the  court,  and  the  dates  of 
the  period  you  were  a  clerk; 

I  did  not  serve  as  a  clerk  to  a  judge. 

2.  whether  you  practiced  alone,  and  if  so,  the 
addresses  and  dates; 

While  a  law  professor  at  the  University  of  Toledo 
(1970-79),  I  participated  in  three  cases  in  the 
Lucas  County,  Ohio,  Juvenile  Court.  In  two  of  these 
cases  I  was  appointed  by  the  court  to  represent 
parents  of  children  alleged  to  have  been  abused  or 
neglected.  In  the  third  case  I  represented 
grandparents  seeking  to  visit  with  and  obtain 
custody  of  their  grandchildren. 

In  1978  and  1979  I  consulted  in  two  cases  with 
lawyers   defending   clients   in   criminal   cases 


29 


196 


involving  electronic  surveillance  by  the 
government.  This  work  was  done  at  home. 

Other  than  these  matters,  I  do  not  recall  any  other 
instances  in  which  I  engaged  in  the  practice  of  law 
on  my  own. 

the  dates,  names  and  addresses  of  law  firms  or 
offices,  companies  or  governmental  agencies  with 
which  you  have  been  connected,  and  the  nature  of 
your  connection  with  each; 

Gardner,  Carton,  Douglas,  Chilgren  &  Waud 
[now:  Gardner,  Carton  &  Douglas] 
321  N.  Clark  St.  Associate 

Chicago,  Illinois  60610  1966-68 

Cook  County  Legal  Assistance  Fndtn. 

1146  Westgate  St.  Staff  Attorney 

Oak  Park,  Illinois   60301  1968-70 

Church  Foundation  of  Greater  Chicago 

112  East  Chestnut  St.  Volunteer  Atty. 

Chicago,  Illinois  60611  1966-70 

Lucas  County  Prosecutor's  Office 

Lucas  County  Courthouse  Asst.  Prosecutor 

Toledo,  Ohio  43624  1972-73 


1.  What  has  been  the  general  character  of  your  law 
practice,  dividing  it  into  periods  with  dates  of 
its  character  has  changed  over  the  years? 

While  employed  as  an  associate  with  Gardner,  Carton, 
Douglas,  Chilgren  &  Waud  in  Chicago  (1966-68),  I  worked 
with  most,  if  not  all  of  the  partners  and  associates  on 
a  broad  range  of  matters.  The  work  encompassed  personal 
injury  defense,  contract  and  commercial  law,  corporate 
matters,  securities  underwriting,  real  estate,  probate, 
and  taxation. 

From  1968-70,  I  was  a  staff  attorney  with  the  Cook  County 
Legal  Assistance  Foundation,  assigned  to  the  agency's 
Evanston,  Illinois,  office.  During  that  time,  I 
represented  poor  clients  in  housing,  consumer,  welfare, 
and  juvenile  law  matters. 

Beginning  shortly  after  my  employment  with  Gardner, 
Carton,  Douglas,  Chilgren  &  Waud,  and  continuing  until  we 
moved  from  Chicago  in  1970,  I  was  a  volunteer  legal  aid 
attorney  with  the  Church  Foundation  of  Greater  Chicago. 

30 


197 


I  worked  one  night  a  month  interviewing  clients  in  a 
neighborhood  office  located  in  a  church  basement.  Where 
appropriate,  I  thereafter  either  represented  those 
clients  or  referred  them  to  other  counsel.  This  work 
encompassed  housing,  consumer,  and  welfare  matters. 

For  a  period  of  about  ten  months  while  I  was  teaching  at 
the  University  of  Toledo,  I  served  on  a  part-time  basis 
as  an  Assistant  Lucas  County  Prosecutor  in  charge  of  the 
Juvenile  Court  docket. 

2.    Describe  your  typical  former  clients,  and  mention  the 
areas,  if  any,  in  which  you  have  specialized. 

The  clients  at  Gardner,  Carton,  Douglas,  Chilgren  &  Waud 
were  primarily  companies  located  or  doing  business  in  the 
Chicago  area.  The  firm's  clients  were  those  typical  of  a 
moderate  sized  large  city  law  firm.  I  had  no  specialty 
while  working  there. 

The  clients  whom  I  represented  as  a  Staff  Attorney  with 
the  Cook  County  Legal  Assistance  Foundation  (and,  as 
well,  as  a  volunteer  with  the  Church  Federation)  were 
poor  people  who  otherwise  would  not  have  had  counsel. 
During  my  second  year  with  the  Foundation,  I  handled  all 
of  the  juvenile  court  cases  in  the  office,  and  developed 
a  degree  of  specialization  in  that  area. 

During  my  time  with  the  Lucas  County  Prosecutor's  Office, 
I,  along  with  student  interns  authorized  to  practice 
under  Ohio's  student  practice  rule,  represented  the  state 
in  delinquency  and  nondelinquency  matters.  This  called 
for  expertise  in  criminal  law  and  procedure.  Juvenile 
law,  and  juvenile  court  procedure. 

c.    1.    Did  you  appear  in  court  frequency,  occasionally,  or 
not  at  all? 

While  working  with  Gardner,  Carton,  Douglas,  Chilgren  & 
Waud,  I  appeared  in  court  occasionally.  Those  appearances 
were  limited  to  pretrial  motions  and  pretrial 
conferences,  and  occurred  principally  in  the  Circuit 
Court  (i.e.,  general  trial  court). 

When  working  with  the  Cook  County  Legal  Assistance 
Foundation,  I  appeared  in  a  large  number  of  courts, 
including  federal  district  court,  the  Cook  County  Circuit 
Court  and  municipal  courts  in  Chicago  and  its  suburbs.  I 
would  be  in  court  several  times  weekly. 

Though  I  attended  court  while  teaching  at  the  Law  School 
of  the  University  of  Toledo,  I  rarely  participated  in 

31 


198 


proceedings.  Instead,  I  would  supervise  students  enrolled 
in  the  Law  School's  criminal  law  clinical  progreun. 

During  the  approximately  ten  month  period  that  I  worked 
part-time  as  an  Assistant  County  Prosecutor,  I  would  be 
in  juvenile  court  two  or  three  times  a  week,  usually  for 
an  hour  or  two  on  each  occasion. 

2.  Nhat  percentage  of  these  appearances  was  in: 

(a)  federal  courts:  5% 

(b)  state  courts  of  record:    95% 

(c)  other  courts  0% 

3.  What  percentage  of  your  litigation  was: 

(a)  civil:  '90% 

(b)  criminal:  10% 

4.  State  the  approximate  number  of  cases  in  courts  of 
record  you  tried  to  verdict  or  judgment  (rather 
than  settled),  indicating  whether  you  were  sole 
counsel,  chief  counsel,  or  associate  counsel. 

With  Gardner,  Carton,  Douglas,  Chilgren  &  Waud,  I 
tried  no  cases  to  verdict  or  judgment. 

With  the  Cook  County  Legal  Assistance  Foundation,  I 
tried  approximately  twenty  cases  to  verdict  or 
judgment.  I  was  sole  counsel  in  these  cases. 

While  a  part-time  Assistant  County  Prosecutor,  I 
tried  approximately  ten  cases  to  verdict  or 
judgment. 

5.  What  percentage  of  these  trials  was: 

(a)  jury;  0% 

(b)  non-jury  100% 

18.   Litigation;  Describe  the  ten  most  significant  litigated 

matters  which  you  personally  handled.  Give  the  citations,  if 
the  cases  were  reported,  and  the  docket  number  and  date  if 
unreported.  Give  a  capsule  summary  of  the  substance  of  each 
case.  Identify  the  party  or  parties  whom  you  represented; 
describe  briefly  the  nature  of  your  participation  in  the 
litigation  and  the  final  disposition  of  the  case. 

While  a  legal  aid  attorney,  I  asserted  successfully  a  defense 
of  unconscionability  against  collection  agencies  in  a  couple 
of  cases.  At  the  time,  this  was  a  relatively  novel  legal  issue 

32 


199 


which  was  being  asserted  principally  by  legal  aid  lawyers.  The 
cases  were  thereafter  dismissed.  I  was  sole  counsel. 

In  several  juvenile  cases  as  a  legal  aid  attorney  I  raised 
issues  relating  to  pretrial  discovery  and  the  right  to  jury 
trial.  Either  the  discovery  motions  would  be  overruled  or 
discovery  would  be  forthcoming  informally  without  a  ruling. 
The  demands  for  trial  by  jury  were  overruled.  I  was  sole 
counsel . 

With  the  Chief  Attorney  and  other  lawyers  in  our  legal  aid 
office,  I  represented  a  group  of  Black  Northwestern  University 
students  who  were  subjected  to  disciplinary  proceedings  that 
might  have  led  to  their  expulsion.  As  a  result  of  our  efforts, 
due  process  procedures  were  developed  and  implemented.  I  do 
not  recall  the  outcome  of  those  proceedings,  though  I  believe 
the  students  were  not  severely  disciplined.  ' 

While  a  law  professor  at  the  University  of  Toledo  I  was 
appointed  in  two  cases  by  the  Lucas  County,  Ohio,  Juvenile 
Court  to  represent  parents  of  children  alleged  to  have  been 
abused  or  neglected.  In  those  cases  I  encouraged  the  court  to 
use  an  innovative  procedural  mechanism  to  work  toward 
restoration  of  custody  to  the  parents  under  controlled 
circumstances.  In  another  case  I  successfully  asserted  the 
right  of  grandparents  to  visit  with  grandchildren  who  had  been 
left  with  a  child  welfare  agency  by  their  parents;  in  due 
course  and  over  the  objection  of  the  agency,  which  sought  to 
place  the  children  in  separate  foster  homes,  the  grandparents 
were  permitted  to  adopt  the  children. 

None  of  these  matters  resulted  in  reported  decisions.  I  have 
no  recollection  of  the  ncunes  of  the  cases  or  individual 
parties.  The  following,  however,  are  attorneys  with  whom  I 
worked  while  practicing  as  an  attorney  in  the  Chicago  area. 
Except  for  the  lawyers  with  whom  I  worked  at  Gardner,  Carton 
&  Douglas,  I  have  indicated  their  relationship  to  me  as  of 
that  time. 

Robert  K.  Downs  (Volunteer,  Church  Federation) 
Downs  &  Downs,  P.C.  708  848-0700 

1010  Lake  Street  #620 
Oak  Park,  Illinois  60301 

Robert  G.  Freeman  (Associate,  Cook  Co.  Legal  Asst.  Fndtn. ) 

125  Longs  Peak  Drive  303  823-6622 

P.O.  Box  1126 

Lyons,  Colorado  80540 


33 


200 


Hon.  Marvin  Gavin  (Exec.  Dir., 
Circuit  Court  of  Cook  County 
16501  South  Kedzie 
Markham,  Illinois  60426 

Hon.  Curtis  Heaston  (Exec.  Dir. 
Circuit  Court  of  Cook  County 
Richard  J.  Daley  Center 
Chicago,  Illinois  60602 


Cook  Co.  Legal  Asst.  Fndtn.) 
708  210-4606 


Cook  Co.  Legal  Asst.  Fndtn.) 
312  443-4337 


Hon.  Leo  E.  Holt  (Supervisor,  Cook  Co.  Legal  Asst, 
Circuit  Court  of  Cook  County       708  210-4220 
16501  South  Kedzie 
Markhajn,  Illinois  60426 


Fndtn . ) 


312  644-3000 


William  L.  Morrison 
Gardner,  Carton  &  Douglas 
Quaker  Tower,  Suite  3400 
321  North  Clark  St. 
Chicago,  Illinois  60610-4795 

Prof.  Sheldon  H.  Nahmod  (Associate,  Cook  Co.  Legal  Asst.) 

Chicago  Kent  College  of  Law        312  906-5261 

Illinois  Institute  of  Technology 

565  West  Adams  St. 

Chicago,  Illinois  60661-3691 


312  644-3000 


John  F.  Notz 
Gardner,  Carton  &  Douglas 
Quaker  Tower,  Suite  3400 
321  North  Clark  St. 
Chicago,  Illinois  60610-4795 

Maria  Ann  Skirnick  (Associate,  Cook  Co.  Legal  Asst.) 
19  Rockwood  Road  West  516  365-7186 

Plandome,  New  York  11030 


312  644-3000 


Joe  A.  Sutherland 
Gardner,  Carton  &  Douglas 
Quaker  Tower,  Suite  3400 
321  North  Clark  St. 
Chicago,  Illinois  60610-4795 

19 •   Legal  Activities;  Describe  the  most  significant  legal 

activities  you  have  pursued,  including  significant  litigation 
which  did  not  progress  to  trial  or  legal  matters  that  did  not 
involve  litigation.  Describe  the  nature  of  your  participation. 
In  this  question,  please  omit  any  information  protected  by  the 
attorney-client  privilege  (unless  the  privilege  has  been 
waived) . 


34 


201 


I  believe  that  my  most  significant  contributions  have  been 
made  while  a  law  teacher,  judicial  officer,  and  legal  writer, 
rather  than  during  my  four  years  as  a  practicing  attorney. 

Certainly  my  most  extensive  experience  with  litigation  has 
come  during  the  fourteen  years  that  I  have  been  serving  as 
United  States  Magistrate.  Throughout  my  time  of  service,  I 
have  been  responsible  for  all  social  security  and  habeas 
corpus  cases.  For  the  first  several  years  over  100  social 
security  cases  and  more  than  60  habeas  corpus  cases  were  filed 
annually.  Recently,  there  has  been  some  decline  in  the  number 
of  filings  in  these  categories,  especially  in  the  social 
security  cases.  For  the  past  five  years  there  have  been 
between  40  and  70  social  security  cases  filed  annually.  For 
the  past  three  years,  there  have  been  about  45  habeas  cases 
filed  annually. 

In  addition,  for  several  years,  I  was  responsible  for  initial 
hearing  and  determination  of  all  pretrial  motions  in  all  civil 
rights  cases;  approximately  130  cases  in  this  category  were 
filed  annually  during  that  period.  For  several  years,  these 
cases  generated  a  substantial  volume  of  motions  that  were 
referred  to  me.  The  extent  of  my  work  in  this  area  has 
diminished  in  the  past  few  years,  due  to  the  appointment  of  a 
pro  se  law  clerk  who  prepares  opinions  in  prisoner  civil 
rights  cases,  a  decline  in  some  years  in  the  number  of  filings 
in  the  other  civil  rights  categories,  and  an  increase  of  my 
own  trial  docket  and  a  decrease  in  the  District  Judge's 
dockets . 

Throughout  my  tenure,  I  have  also  had  a  large  number  and 
variety  of  matters  referred  to  me  in  other  types  of  civil 
litigation.  Among  these  have  been  anti-trust,  securities, 
personal  injury  and  product  liability,  contract,  commercial 
cases,  and  patent.  I  estimate  that  I  have  handled  the  pretrial 
motion  work  in  a  dozen  or  more  cases  annually  from  these 
categories;  several  of  those  cases  involved  extensive  pretrial 
motion  practice. 

Since  shortly  after  being  appointed,  I  have  been  responsible 
for  initial  hearing  and  determination  of  all  pretrial  matters 
in  all  criminal  cases,  of  which  about  90  are  filed  annually. 
I  empanel  and  supervise  the  grand  juries,  issue  warrants, 
conduct  detention  hearings,  hold  hearings  on  motions  to 
suppress,  adjudicate  motions  to  dismiss  and  for  discovery,  and 
handle  any  other  pretrial  matters  in  criminal  cases.  The 
volume  and  complexity  of  pretrial  motion  work  in  this  area  of 
the  docket  has  increased  in  the  past  few  years  as  the 
government  has  filed  several  multi-defendant,  multi-count  drug 
cases . 


35 


202 


Finally,  my  o%m  civil  docket  has  expanded  steadily  throughout 
my  time  of  service  as  Magistrate,  as  lawyers  have  consented  to 
have  me  be  substituted  for  the  District  Judge.  I  have  had 
extensive  civil  jury  and  nonjury  trial  experience,  and  my 
consent  docket  is  presently  about  130  cases.  This  is  eibout  a 
half  to  a  third  the  size  of  the  docket  of  some  of  the  active 
District  Judges  in  our  District. 


36 


203 


II.  FINANCIAL  DATA  AND  CONFLICT  OF  INTEREST  (PUBLIC) 


List  sources,  amounts  and  dates  of  all  anticipated  receipts 
from  deferred  income  arrangements  stock  options,  uncompleted 
contracts  and  other  future  benefits  which  you  expect  to  derive 
from  previous  business  relationships,  professional  services, 
firm  memberships,  former  employers,  clients,  or  customers. 
Please  describe  the  arrangements  you  have  made  to  be 
compensated  in  the  future  for  any  financial  or  business 
interest. 

I  have  been  contributing  to  the  Judicial  Retirement  System 
since  1989.  The  benefits  of  this  annuity  program  will  be 
forfeited  upon  retirement  under  28  U.S.C.  S371(a),  relating  to 
Article  III  judges. 

I  am  a  participant  in  the  Thrift  Savings  Plan  contributing 
five  percent  of  my  salary.  I  plan  to  continue  doing  so,  and  to 
withdraw  the  funds  on  retirement. 

While  at  the  University  of  Toledo  I  participated  in  the  State 
Teachers  Retirement  System.  I  will  receive  an  annuity  of 
$1,700  per  month  from  that  program  on  reaching  age  65. 

I  have  an  annuity  that  I  purchased  while  a  law  professor  at 
the  University  of  Toledo  with  the  Aetna  Life  Insurance 
Company.  The  present  account  value  is  $6,900.  I  anticipate 
receiving  the  benefits  at  age  65. 

Explain  how  you  will  resolve  any  potential  conflict  of 
interest,  including  the  procedure  you  will  follow  in 
determining  these  areas  of  concern.  Identify  the  categories  of 
litigation  and  financial  arrangements  that  are  likely  to 
present  potential  conf licts-of-interest  during  your  initial 
service  in  the  position  to  which  you  have  been  nominated. 

The  only  potential  area  of  conflict  of  which  I  am  aware  would 
arise. in  cases  in  which  the  University  of  Toledo  (my  wife's 
employer)  is  a  party.  I  have  recused  and  will  continue  to 
recuse  myself  from  cases  involving  the  University. 

I  anticipate  no  potential  conflicts  of  interest  with  regard  to 
my  finances,  and  I  will  adhere  to  the  requirements  of  the  Code 
of  Judicial  Conduct  concerning  any  conflicts  of  interest. 

Do  you  have  any  plans,  commitments,  or  agreements  to  pursue 
outside  employment,  with  or  without  compensation,  during  your 
service  with  the  court?   If  so  explain. 


37 


204 


I  expect  to  do  the  writing  for  the  law  publishers  (Clarlc 
Boardman  Callahan  and  Anderson  Publishing  Company)  that  I  have 
done  in  the  past.  I  expect,  accordingly,  to  update  my 
treatises.  The  Law  of  Electronic  Surveillance  (Clark  Boardman 
Callahan)  and  2  Andersons  Ohio  Family  Law;  Juvenile  Court 
Practice  and  Procedure,  vnrite  the  annual  Criminal  Procedure 
Handbook,  and  edit  the  Criminal  Law  Review  anthology  of  law 
review  articles. 

List  sources  and  amounts  of  all  income  received  during  the 
calendar  year  preceding  your  nomination  and  for  the  current 
calendar  year,  including  all  salaries,  fees,  dividends, 
interest,  gifts,  rents,  royalties,  patents,  honoraria,  and 
other  items  exceeding  $500  or  more  (If  you  prefer  to  do  so, 
copies  of  the  financial  disclosure  report,  required  by  the 
Ethics  in  Government  Act  of  1978,  may  be  substituted  here.) 

See  attached  Financial  Disclosure  Report. 

Please  complete  the  attached  financial  net  worth  statement  in 
detail   (Add  schedules  as  called  for) . 

Net  Worth  Statement  Attached. 

Have  you  ever  held  a  position  or  played  a  role  in  a  political 
campaign?  If  so,  please  identify  the  particulars  of  the 
campaign,  including  the  candidate,  dates  of  the  campaign,  your 
title  and  responsibilities. 

No. 


38 


205 


NEmTORTH 
James   G.    Carr    ss*323-32-7729      Eileen   M.    Carr    ss#112-34-1666 

Provide  a  co.-npicu,  CLincni  fj-.i-ncii]  ncl  worOi  suiicmcni  which  iurrJics  Ln  ccliU 
rOJ  cjscii  (LocludLis  b^^"^  zctouni:,  real  csw.i,  Stcuridcs,  trusts,  uivcstnicnLS.  t-id  oih.cr  H-iyicid 
holdings)  tli  liabUidcs  (L^cluding  dcbu,  mor.jagcs,  loans,  lad  oihir  fijiincii]  cbligstions)  of 
youj^cL',  you:  spouse,  wd  oihcr  immtdjji:  mcmbin  of  youi  household. 


ASSITS                                                    1 

U."^  n_!  J  ;^5 

= 

Iijh  en  ti-ii  i.i^  in  biri: 

11 

00(|    00 

Notu  pA)fii!t  10  ti.-\i:-iicu.-'ri 

1 

U.S.  Govtri=5cr,l  jf<Mrli  =  --ti,i 

Kolij  piyLble  L)  ti.-03 -^iru ec-u.-td 

Lir^  jc^ui/^Ow-^di  ichrdulc 

636 

60( 

00 

Nol;s  piyibb  13  njiova 

Uriilid  K;curi;ici--ul:i  jcfccij'e 

^    Nolrj  payable  Ld  clbt-i 

Arccu,-i'j  L-.d  noui  rt^ivjblc: 

A^co'xnLs  t-id  bDli  due 

I>ue  torr.  /di'Jvei  l-id  fcSt-idj 

Unpiid  ir^iont  Lu 

Dvc  torn  o-^.t-'i 

CX>>i-'  cr_::ijd  \xx  ini  inUrrs: 

Dowb:;.! 

7.eJ  ciU'^  n^c-^ijts  piy»i;c-iii 

58    000    00 

4525   Wedgewood,    Toledo,    Ohid 

226 

000 

00 

CK-vZii  (nc,-;-Ljij  s.-.i  ouS-:  Ijerj  p:v. 
iV.i 

F.£-0  ciU',^  :-cr^:7t^  rc^':;vii!i; 

0\>cr  cUVj-licnb^:  debit    in 

5 

000    DO 

Aulo:  !.-■{;  c'J-.c:  p-.r^ccz:  F-Tr-err/ 

65 

000 

00 

checking   account 

C-S  viJot-L/c  l-.:-2.-'_",ci 

1    000 

00 

C>>>.c:  i_LJ :  1; - i -r rzli-: : 

1 

1 

1 

1  7o'-J  Libij.-i 

63    000 

00 

1          1 

1  Kc;  Vcr-i 

876    600 

09 

ToL;I/.iKLj                                                         1          939    60(1    00 

1  TcLl!  licaiic-  t-J  fKi  t-D.-i 

939 

600 

QO 

contd;cent  u.k£ruij.i3 

1 

1 

CEKZPJlL  I>7CRMJ>.TI0N 

^c......,c..^::c.^...: 

u^c)                      no 

C-.h.c=c-c=r.^^U 

A-'t  yo-J  iiCccd:.-.!  i.'.  ;.-.y  tuiy  c:  !::i> 

i^ca^i?                  no 

t.;JCl-: 

K:Yt  ycu  cvc  uJ-^:  li.-irup<c-_,?"° 

Pre-.;:;;-.  J-;:  F^-..-J  1--.- -.-  Vi-                            | 

1    1 

C:--:::.r=ub;  cc;: 

i-.-=. 

_J_ 

1 



206 


Listed  Securities 

James  G.  Carr 
Eileen  M.  Carr 


Bonds /Description  (Jt.  Ownership) 

Ohio  St  Bldg  Auth  St,  6.50%,  issued  9/90  53,863 

matures  9/1/S6 

Massillon  Oh  City  Sch  Dist,  6.50%,  55,193 

issued  2/90,  matures  12/97 

Ohio  St  Liquor  Profits,  6.80%,  issued  6/89        27,751 
matures  3/1/98 

Ohio  St  Higher  Edl  6.70%,  issued  6/90  561168 

matures  5/1/99 

Cincinnati  Oh  New  Pub  Hsg  Auth,  6.00%,  51,000 

issued  6/68,  matures  7/1/99 

Westerville  Oh  MNV  Pk,  6.20%  54,916 

issued  6/91,  matures  9/15/99 

Ohio  St  Wtr  Dev  Auth  Rev,  6.00%,  16,417 

issued  10/78,  matures  9/1/2000 

Cleveland  Ohio  Ser  A  Rfdg  AMBAC  112,564 

6.30%  issued  5/91,  matures  10/1/2001 

TOTAL  427,820 


Mutual  Funds  fJT^ 

Fidelity  Advisor  Ecfuity  33,537 

Fidelity  Advisor  Income  32,678 

Merrill  Lynch  Int'l  Equity  Fund  Class  B  25,714 

Merrill  Lynch  Global  Allocation  Fund  Class  B  24,613 

Merrill  Lynch  Developing  Capital  Markets  Fund  10,593 

Merrill  Lynch  Latin  America  Fund  Class  B  11,080 

ML  Capital  Fund  Class  B  33,818 

TOTAL  172,033 


Mutual  Funds  (James  SEP) 

Merrill  Lynch  Fund  for  Tomorrow  Class  B  7,366 

Thompson  Opportunity  Fund  Class  B  5,313 

Merrill  Lynch  Basic  Value  Fund  Class  B  5,292 

TOTAL  17,971 


207 


Mutual  Funds  (Eileen  IRA) 

Merrill  Lynch  Fund  for  Tomorrow  Class  B 

Thompson  Opportunity  Fund  Class  B 

TOTAL 


CMA  Ohio  Municipal  Money  Fund 

Real  Estate  Mortgages  Payable 

cno^®^"^""-'-^^'^  condominium  located  ai: 

608  Broad  Avenue  South 

Naples,  Florida 

current  balance     $  38,500 


3,849 
3,095 

6,944 
11,871 


208 


NET-WORTH 
Maureen  Carr 

PioviJc  :  ccniy'.c'.;,  cuncr.i  TLii.'^ciil  r.ct  worJi  sL<i;mcnl  which  i'^rrjics  Lt  ccLiiJ 
ai)  iiicM  (Lncl'JcUns  \)is±  zccounii.  real  csuic,  securities,  trusLs,  invcsQmcnLs,  £-'■,0  ct>,tr  fLninciaJ 
holdlnss)  tU  lizbiiidcs  (L'-.cljdinB  dcbis,  rnonEsscs,  loinj,  zjd  oOi:r  fLTijicii]  cbligicons)  of 
youJxL',  youi  spouse,  2.id  oLhcr  immidiii:  members  of  you:  hcuschold 


Cijh  en  ts-nd  l:i^  in  buri: 


U.S.  Covt.-^;=«nl  »cr>in:  =  - 


Llr^  x.-,;:Hdii-»di  j;tirf-jle 


■Uniitid  tcciri:ici-tdi  yciidjlc 


A:=^i:.-.'j  t-ii  noui  rejc'ivibic: 


D-Jc  torr.  idi'Jvti  L-d  t-it-.ii 


r>.'f  tom  o-*^t.'» 


Do-^Vc^Jl 


F.cJ  cjLlI:  o»-ti-tid  !C>-.£-; 


;tJ  f.u;;  n-C.-^Jri:  I-:-.vi;-: 


At.;!  L-.d  clhc;  p-.ns::;  J.-vr-^^y 


Ci;SviJ:>:-U.'«  1-.  ;■-•-- - 


CO  i: 


rc-.i  Mitia 


co.vrrscE!-'!  ix'^a-rms 


(_ 

>     T, 


Ulit!  C-  cn^i^'-: 


0  CIlL- 


LLKsasriLi 


67 


800 


00 


KoUj  fwyiblc  lA  tinjc  -  tirw''cd 


KoUj  piyi^U  td  ti.'Oa -c/u cc-.L~t^ 


>to'-:i  piyi^U  13  rtjiiivo 


I  ^  Ko1:j  Fiytbls  13  olijc-; 


At^ccunli  U^i  tOii  <5-j3 


I   Unpijd  L'-ior-.t  uj; 


O^^-  lL'-.:^(i  Ul  i.'vi  inUmt 


121500    00 


CKf— il  c-.crjuij  and  oLS^r  Uerj  p:v. 


CX>,i:  d:i<i-;!;rdi:: 


I  Tclj  Uii;::!;:! 


Kc.  Yi'c.-i 


80    300 


'00 


8fl. 


laod  00  lj!iiH±rii-t:l2!L: 


I      80  boo      ;00 


CEKXSAL  rvFCRM.'.TION 


v:}()  no 


A.'t  you  dcrciii.-l  ir,  i,-,y  lulu  c:  l::ti 
Hive  ycM  r<c-  li''.j:  li.-ir\;r<c-.?  '^•° 


1 


209 


Maureen  M.  Carr 

Mutual  Funds  Mkt.  Value 

Government  Income  Securities  Inc.  30,837 

Thompson  Opportunity  Fund  Class  B  24,223 

TOTAL  55,060 

CMA  Money  Fund  12,710 


210 


NET~WORTH 


Megan  Carr 

Provide  z  cc:-o!c'.c,  cuircr.i  TL-.i-Tcial  ml  wonh  sLiicmcnl  which  iLcrr^iics  Lt  ccHi) 
?JJ  aisr.15  (Inci'-'ding  bi-^i  zccoun'^,  rti]  ts'Ji'c,  stcuricics,  CrosLs,  LivcstiTicnLs,  zi\6  oihitr  fLi^uiciil 
holdings)  Ell  liabUJDcs  ('ir.cl-jdinE  dcbu.  monsascs,  loins,  lad  oih-r  fLTi^nci^l  cblisacons)  of 
yo-dn-clf,  youx  spouse,  End  oihcr  Ltuntdijii  memb:n  of  your  household. 


/.SSITS 


Zi^>i  en  tA.1-  -i4  i^  bwOti 


U.S.  Covt.-::ZJer.l  lecw.: 


Lir.=i  tcicHo'u-wld  jitirfuOc 


U.-jJilid  ncirilici--tdi  Ki:i;!c 


n'j  L-.d  nout  rMeivjo;c: 


I>J«  £r:r-.  ich'jvci  i-'d  titj-.d; 


I\-t  tr-  c--'i^-> 


r<u^.^..i 


F.cii  cJl^  c--td-.i-; 


7.1.0  i-.-.^'.-.  rr-C.-.-z.^  i:;:;-.v:--.: 


CSt,  vi!>t-l;.'c  i-.:-.: 


Tc— 1  /■J.W.J 


I  m;n  TTTT.; 


10 


!OO0 


00 


81 


200 


00 


NoUu  p^yiilc  Lo  ti.-LC - iicrec 


It'olu  pijiblt  Is  ti.-\fa -CA3  ccM.*id 


h'oV;!  piyi^U  U)  rtjiiva 


KoUJ  paytble  l3  ol^t.1 


/.:xo'i.-iU  Uni  bDlj  du5 


Unpiid  lr»i3r-.c  Ux 


O-Si.-  i:.-.,:^ii  uj;  i.-,5  L-'.;.-:-.', 


r.cJ  till'.:  Kcr^iju  pty>i;c-ii£ 


C>.>^:  d;^^-:u:7i.^: 


12|  50 


(j    OC 


'T 


103 


700i 


00 


7c^  liiliiijti 


Kf.  v.'c.--: 


fl_aa 


T:t!  liiilliiii  ir>i  f>:l  i-cri 


GENTSja  rvr  C^^M-^TION 


I  103    |.700  |00 


^;)  no 


C-  bii::  c-c:r.tK:L: 


'    L:;0  Cliir 


A.-:  ye.;  <?.; fcii.-.!  l-.  ^-y  r.;!'.;  c:  i::i^ 
K-.ve  ycu  OC-  U.v_.:  li.-irj;<r,?  "° 


C  S  :  •;-:- 


211 


Megan  A.  Carr 

Mutual  Funds  Mkt.  Value 

Government  Income  Securities  Inc.                     19,866 

Thompson  Opportunity  Fund  Class  B  27,651 

Thompson  Target  Fund  29,974 

TOTAL  7744915,255 

CBA  Money  Fund  3,754 


212 


NETTTORTH 


Darrah  Carr 


Prcvidc  2  co:p.ph:z,  currcr.i  fuiincijJ  ntl  wcrOi  sLiicmcni  which  i'^rrji^s  Ln  cc'^ 
Eil  lisr.Ls  (Lncl'jdlng  bi/ii  icccur.-^,  rtil  csLiii,  stcuridcs,  trusu,  invcstmcni^,  cs,t  c'J-.cr  fLnyiciiJ 
r,c;di-igs)  ell  lizbllidcs  ('Locljclins  dcbj,  mongascs,  loinj,  lad  oihtr  fLnir.ciii  cblijiuons)  of 
youn^lT,  your  ypo-osc,  a.nd  other  immtdjiii  m:mbtrs  of  your  household. 


ass: 


U.^5ILJTiL; 


C:.:h  en  hir.d  S-'i^  in  bu-JLJ 
U.S.  Gov£.':i=>"il  ieiV.-;;  =  - 


.  Ll.''.c::i  ^cJKL':Dci-^4id  ichrdjlc 


10  Uo-q  00 


06 


Kolu  p*yii>?c  lo  bAAJs - ii^nrcti 


KoLu  piyL^ilc  l3  b-i.-iki-v.'ucc-jL.*;^ 


500    00      KoU!  piyi^b  L>  nlidvc 


•  U.-JJlU/S  KC-.ri;ic>--tA!  xitdj!; 


ArccwT'j  t.-.d  ncL£i  rcciiivjoic: 


I>jc  frsr-,  jcli'Jvcs  xr.d  LSc*.— 


D'j:  £r;-~  o,.=.'i 


I>oi.':-J-l 


r.eJ  c:li.;  <:--.-^-^ii  sc>.-.i:'.= 


^tJ  eiUL:  irc.-'.rilii  lEsivi:.; 


/.•;.;:  I.-C  c'.-.e:  pif^c::.  fr. 


C1.--1  M.'.>:-lL'e  i.-.:u.-i.-i: 


OOm:  i^:-- 


7cU)  A.'J^U 


1  ,  Ko:;:  psyib'.c  t)  olicT 


>.:^'inU  t.-:!  bOil  d-j 


Ur.pijd  L'.ia:nt  Ixx 


ChSc-  L-.iiid  Ui  i.->i  i/^U.'r;t 


cov7T.'ce;kt  u-'^arms 


2    000 


98 


00 


y.tij  ciU'j  rrcrj;ijt5  piyjilc-:^ 


x-'.tJuJo 


C^.trc^  (ncr;i£ej  xid  olVr  lii.-j  piv. 


0^£;  (Ui-:j-;unil 


50d    00 


^J    Li^^L!! 


?.-c:  Vc:i 


I      98  I   500 


_op 

'00 


7c'.i!  L':ilIi-_-  «.-vJ  ncl  ---r 


I     98  I  500  too 


CENTRAL  r^TCRM.'i.TlON 


:  t=ic:si--,  co.T.rj;::  cr  rji.-i^".2.- 


,!.-t  :.r/  i;^'j  p!c!j-u:?   (Adi  k 
>j£)  no 


L-  biit:  c-  cc-Sic'ji 


l.c:i.'CliL-J 


L:i=rj7  no 


£  :-rz-<-iz\i-:::Ui^^l.^-zy^^ 


V.--1C  y.i  c-fC  li'-:  ti.-:cvv:~'  '"■° 


1_J— L 


213 


Eileen  M.  Carr,  Custodian 
Darrah  E.  Carr 

Mutual  Funds  Mkt.  Value 

Government  Income  Securities  Inc.  16,973 

Thompson  Opportunity  Fund  Class  B  33,776 

Thompson  Target  Fund  29,974 

TOTAL  80,723 

CBA  Money  Fund  5,754 


214 


NET-V«ORTH 

Caitlin  Carr  . 

Provide  2  complc'.c,  cuircr.l  ru-.-iciil  nal  worOi  sLiiimcnl  which  i'xrrJics  b  dtlii! 

rJ\  eisr.is  (unci 'J ding  birJ:  iccounu,  rta)  tsuie,  stcuridcs,  trusls,  uivcsoncnii,  Jjid  ol^,c^  fu-.jjicijJ 

holdings)  eH  liabiiiocs  (L-.d-jdi/ig  ckbu,  mongascs,  loins,  md  oihtr  finincizj  cbbgjcons)  of 

YOun<L'',  your  rDoust,  ^-^6  oihcr  Lnvnciiiii  mcmbtrs  of  you,'  hcuschold. 


SSITS 


lijh  en  tJ-"i^  ~fi  in  b^"j-: 


U.S.  Gcvtriirjcnl  icc\;r.-ti--*^i- 


Llr^  tMJ^HozLj-tii  jchrtlclr 


Urj4'.-J  K:ciri:ici--iid  ycicdj'^ 


;  tnd  noui  nccivioi:: 


D-Jt  t=n-.  jdi'Jrt:  Lri  tii.-.t: 


D-JC  fcvm  o'J-.i:i 


I>;v;;:f-1 


F.ti!  c:Ll;c  c--T.eJ--t-:- 


?.tJ  c-.U'i  irc-^iri:  i  =  ::vj.-.: 


AtL:;  L-i  cL-.er  pir-io:;.  prrr-: 


Ci;Svi;;^-U/c  {^sc/;.^- 


o:-.: 


7oUl  A-<i!Lj 


covn?-;cENT  Liksiimzs 


/_s  c=d=::^',  cc.T.Xk't.'  cr  r.-i 


Cl;  Uiic!  c-  Knti:^ 


'_;rj  C!iL-rs 


LLKSaJTIL: 


10  !000! 


00 


83 


900100 


Nolr.j  p*ytb!e  Ui  b^-Jc  - u-r,:/cd 


KoLij  piyiile  to  ti.'xi^ -v/u  eo^-t^ 


>iO'j:i  piyi^U  L3  rt-iavc 


1 


Nolc:  piytb!:  13  olitr: 


/.tco'X-iU  t.id  tUla  d'ja 


1   Unpiid  iftZJC-i  Ui 


I   OJ-,'--  C'.pjjd  Ui  l.-,i  L-^l 


F.ti3  ciU'^  n=-^ijM  piyii:c-idc 


Ch!j::-J  c-.r 


s.-^(i  olV:  Ijirj  pi 


O^r.;  cU^^j-lUru2^: 


5O0     00 


94 


ToLJ  liiiUJ:;;! 


I  J.'c'.Vcri 


4001  00    1  ■J''^'^  liiiJi:--  l-J  ncl  --xr,i 


CEKXRAJLI>7CR-M.'lT10N 


v:!;)  no 


I  !  Kive  yc>-  r'c;  liV_.;  t i.-ir-,' ;< c-^ '  " ° 


215 


Eileen  M.  Carr,  Custodian 
Caitlin  E.  Carr 

Mutual  Funds  Mkt.  Value 

Government  Income  Securities,  Inc.                    15,987 

Thompson  Opportunity  Fund  Class  B  19,593 

Thompson  Target  Fund  43,041 

TOTAL  78,621 

CBA  Money  Fund  5,222 


216 

III,   GENERAL  (PUBLIC) 


An  ethical  consideration  under  Canon  2  of  the  American  Bar 
Association's  Code  of  Professional  Responsibility  calls  for 
"every  lawyer,  regardless  of  professional  prominence  or 
professional  workload,  to  find  some  time  to  participate  in 
serving  the  disadvantaged."  Describe  what  you  have  done  to 
fulfill  these  responsibilities,  listing  specific  instances  and 
the  amount  of  time  devoted  to  each. 

For  more  than  three  years  I  was  a  volunteer  attorney  working 
with  a  legal  aid  program  developed  and  implemented  by  the 
Church  Federation  of  Greater  Chicago.  This  work,  which  I  began 
while  employed  with  the  law  firm,  encouraged  me  to  become 
employed  as  a  legal  aid  attorney  with  the  Cc3ok  County  Legal 
Assistance  Foundation.  After  working  for  about  a  year  in  an 
office  in  Englewood  on  Chicago's  South  Side,  I  sat  up  and 
helped  to  staff  an  office  sponsored  by  our  parish  in  Rogers 
Park,  in  Northeast  Chicago. 

While  a  law  professor  at  the  University  of  Toledo,  my 
principal  areas  of  responsibility  were  the  Law  School's 
criminal  law  clinical  programs.  In  addition  to  a  defender  and 
prosecutor  component,  I  developed  a  consumer  protection 
clinical  program.  This  program  enhanced  considerably  the 
ability  of  the  City  of  Toledo's  Consumer  Protection  Agency  to 
enforce  ordinances  and  statutes  intended  to  protect  consumers. 

In  addition,  I  implemented  a  program  through  the  University's 
financial  aid  office  whereby  financially  needy  students  were 
placed  in  law-related  positions  with  governmental  agencies  and 
offices  in  our  area.  This  program  enabled  many  students  who 
either  would  not  have  received  financial  aid  or  who  would  not 
have  received  law-related  experience  to  gain  those  benefits. 

I  was  one  of  the  founders  in  1974  of  the  Toledo  Area  Center 
for  the  Prevention  of  Child  Abuse  and  Neglect,  which 
ultimately  became  the  Fcimily  and  Child  Abuse  Prevention 
Center.  I  served  on  that  board  until  1981.  In  addition,  I 
served  on  the  Lucas  County  Mental  Health  Board,  Lucas  County 
Children  Services  Board,  and  Lucas  County  Childrens  Trust 
Fund.  The  time  expended  on  these  activities  was,  I  estimate, 
about  six  hours  monthly  as  a  general  rule,  and  more  on 
occasion. 

The  American  Bar  Association's  Commentary  to  its  Code  of 
Judicial  Conduct  states  that  it  is  inappropriate  for  a  judge 
tu  hold  membership  in  any  organization  that  invidiously 
discriminates  on  the  basis  of  race,  sex,  or  religion.  Do  you 
currently  belong,  or  have  you  belonged,  to  any  organization 

39 


217 


which  discriminates  —  through  either  formal  membership 
requirements  or  the  practical  implementation  of  membership 
policies?  If  so,  list,  with  dates  of  membership.  What  have 
you  done  to  try  to  change  these  policies? 

I  belong  to  no  organizations  that  discriminate. 

While  a  college  student,  I  was  a  member  of  a  fraternity  that 
denied  admission  to  a  Jewish  student  on  the  basis  of  the 
refusal  of  a  single  member  to  vote  for  his  admission.  I,  along 
with  all  the  other  members,  wanted  him  to  become  a  member, 
argued  unsuccessfully  against  that  refusal,  and  voted  in  favor 
of  his  admission. 

Is  there  a  selection  commission  in  your  jurisdiction  to 
recommend  candidates  for  nomination  to  the  federal  courts?  If 
so,  did  it  recommend  your  nomination?  Please  describe  your 
experience  in  the  entire  judicial  selection  process,  from 
beginning  to  end  (including  the  circumstances  which  led  to 
your  nomination  and  interviews  in  which  you  participated) . 

The  Toledo  Bar  Association  interviewed  candidates  for  the 
federal  bench  in  May,  1993,  and  I  was  recommended  for 
appointment . 

I  was  contacted  by  the  Bar  Association,  and  submitted  a  resume 
and  was  scheduled  for  an  interview.  That  was  the  extent  of  the 
Bar  Association's  process. 

My  efforts  to  secure  a  nomination  began  in  late  Summer,  1993, 
when  I  expressed  my  desire  to  be  nominated  and  asked  the 
support  of  local  Democratic  political  leaders.  Thereafter  I 
informed  some  attorneys  of  my  interest.  In  addition,  I  spoke 
with  several  other  persons  in  Toledo  and  elsewhere  about  my 
desire  to  be  nominated.  When  asked  by  anyone  with  whom  I  spoke 
as  to  what  they  could  do,  I  told  them  that  they  could  write 
letters  (without  sending  copies  to  me)  to  our  Senators  and 
otherwise  speak  favorably  about  me  and  my  qualifications.  As 
a  result  of  these  efforts  and,  I  believe,  my  performance  as  a 
Magistrate  Judge,  I  was  interviewed  by  senatorial  staff 
members  and  our  Senators.  After  they  recommended  that  I  be 
nominated,  I  was  interviewed  by  representatives  of  the  Office 
of  Policy  Development  of  the  Justice  Department,  investigated 
by  the  F.B.I.  ,  and  interviewed  by  a  representative  of  the 
American  Bar  Association. 


40 


218 


Has  anyone  involved  in  the  process  of  selecting  you  as  a 
judicial  nominee  discussed  with  you  any  specific  case,  legal 
issue  or  question  in  a  manner  that  could  reasonably  be 
interpreted  as  asking  how  you  would  rule  on  such  case,  issue, 
or  question?   If  so,  please  explain  fully. 

No 

Please  discuss  your  views  on  the  following  criticism  involving 
"judicial  activism." 

The  role  of  the  Federal  judiciary  within  the  Federal 
government,  and  within  society  generally,  has  become  the 
subject  of  increasing  controversy  in  recent  years.  It  has 
become  the  target  of  both  popular  and  academic  criticism  that 
alleges  that  the  judicial  branch  has  usurped  many  of  the 
prerogatives  of  other  branches  and  levels  of 'government . 

Some  of  the  characteristics  of  this  "judicial  activism"  have 
been  said  to  include; 

a.  A  tendency  by  the  judiciary  toward  problem-solution 

rather  than  grievance-resolution; 

b.  A  tendency  by  the  judiciary  to  employ  the  plaintiff 
as  a  vehicle  for  the  imposition  of  far-reaching 
orders  extending  to  broad  classes  of  individuals; 

c.  A  tendency  by  the  judiciary  to  impose  broad 
affirmative  duties  upon  governments  and  society; 

d.  A  tendency  by  the  judiciary  toward  loosening 
jurisdictional  requirements  such  as  standing  and 
ripeness;  and 

e.  A  tendency  by  the  judiciary  to  impose  itself  upon 
other  institutions  in  the  manner  of  an 
administrator  with  continuing  oversight 
responsibilities . 

I  believe  that  judicial  power  should  be  exercised  with 
restraint,  but  that  it  should  also  be  exercised  effectively 
when  required  by  the  Constitution  and  laws  of  the  United 
States . 

A  judge  must  give  the  parties  a  full  and  fair  hearing,  seek  to 
ascertain  the  facts  from  the  evidence,  and  apply  the  law  as 
best  it  can  be  discerned.  A  Judge  is  to  implement  the  law, 
and,  in  doing  so,  to  refrain  from  imposing  personal 
preferences  or  political  or  policy  choices. 


41 


219 


A  judge's  primary  responsibility  is  not  merely  to  decide 
disputes,  but  to  end  them.  He  or  she  is  most  likely  to 
accomplish  that  objective  by  maintaining  not  only  the 
appearance  but  preserving  the  actuality  of  impartiality, 
trying  to  make  clear  to  the  litigants  and  their  counsel  that 
their  case  is  as  important  to  him  or  her  as  it  is  to  them,  and 
sending  the  parties  from  the  courtroom  with  a  sense  that  they 
could  receive  no  more  fair  or  attentive  hearing  anywhere  else. 
If  the  judge  is  able  to  do  so,  the  unsuccessful  litigant  is 
more  likely  to  accept  the  outcome,  leave  off  the  distraction 
and  disruption  of  litigation,  and  begin  to  restore  his  or  her 
life  to  more  useful  and  productive  pursuits . 

Judicial  authority  is  most  appropriately  viewed  as 
restrictive,  rather  than  aggressive.  Correction  of 
constitutional  deficiency  is  generally  limited  to  directing 
that  such  deficiency  be  remedied  by  those  .responsible  for 
causing  the  constitutional  problem.  The  executive  and 
legislative  branches  are  primarily  responsible  for 
accomplishing  compliance  with  constitutional  and  legal 
obligations.  The  role  of  the  judiciary  is  in  general 
supplementary  —  to  assist  by  prohibiting,  when  such  is 
necessary  —  but  not  to  usurp  or  supplant  the  authority  and 
responsibility  of  the  other  branches  of  government. 

My  view  that  judicial  power  is  to  be  exercised  with  restraint 
reflects  my  understanding  of  the  duty  of  the  judiciary  under 
the  Constitution.  It  reflects  as  well  a  perception  that 
excessive  judicial  entanglement  in  the  activities  of  other 
institutions  impairs  not  only  those  institutions,  but  can 
adversely  affect  the  judiciary  as  well.  Such  adverse  effects 
include  diversion  of  scarce  judicial  resources  from  other 
matters  for  which  the  judiciary  is  responsible  and  a 
diminution  of  public  respect  for  the  judiciary  as  a  neutral 
arbiter  of  disputes. 


42 


220 


I.   BIOGRAPHICAL  INFORMATION  (PUBLIC) 

Full  name  (include  any  former  names  used.) 

CLARENCE  COOPER 

Address:   List  current  place  of  residence  and  office 
address (es) . 

Office  Address:    Georgia  Court  of  Appeals 

4  08  State  Judicial  Building 
Atlanta,  Georgia   30334 

Home  Address:       3203  Kingsdale  Drive,  S.W. 

Atlanta,  Georgia   30311 

Date  and  place  of  birth. 

May  5,  1942;  Decatur  (DeKalb  County)  Georgia 

Marital  Status  (include  maiden  name  of  wife,  or  husband's 
name) .   List  spouse's  occupation,  employer's  name  and 
business  address (es). 

Date  of  Marriage:   November  24,  1973 

Wife's  Maiden  Name:   Shirley  Mae  Elder 

Occupation:     Food  Services  Coordinator  (Nutritionist) 

School  Nutrition  Program 

Fulton  County  School  System 

5270  Northfield  Blvd. 

College  Park,  Georgia   30349 

Education:   List  each  college  and  law  school  you  have 
attended,  including  dates  of  attendance,  degrees 
received,  and  dates  degrees  were  granted. 

Harvard  University 

John  F.  Kennedy  School  of  Government 

Cambridge,  Massachusetts 

Degree:   Master's  In  Public  Administration 

Year:   June  1978 

Massachusetts  Institute  of  Technology 

Community  Fellow  Program 

Department  of  Urban  Studies  &  Planning 

Degree:   Diploma 

Year:   June  1978 


221 


National  College  of  the  State  Judiciary 
School  for  Judges 
Reno,  Nevada 
Degree:   Diploma 
Year:   1977  &  1981 

Leadership  Georgia 
Leadership  Training  Program 
Atlanta,  Georgia 
Degree:   Certificate 
Year:   1976 

Leadership  Atlanta 
Leadership  Training  Program 
Atlanta,  Georgia 
Degree:   Certificate 
Year:   1975 

Howard  University  School  of  Law 

Washington,  D.C.   20059 

Dates  attended:   1964  -  1965 

Reason  for  leaving:   Transferred  to  Emory  University  to 

integrate  its  law  school  in  1965 

Emory  University  School  of  Law 
1380  Oxford  Rd. ,  N.E. 
Atlanta,  Georgia   30322 
Degree:   Juris  Doctor  (1967) 
Year:   1965  -  1967 

Clark  College  (N/K/A  Clark  Atlanta  University) 
James  P.  Brawley  &  Fair 
Atlanta,  Georgia   30314 
Degree :   B . A .  H  i  story 
Year:   1960-1964 

Employment  Record:   List  (by  year)  all  business  or 
professional  corporations,  companies,  firms,  or  other 
enterprises,  partnerships,  institutions  and  organizations, 
nonprofit  or  otherwise,  including  firms,  with  which  you  were 
connected  as  an  officer,  director,  partner,  proprietor,  or 
employee  since  graduation  from  college. 

From  12/9/85  to  12/2/88,  I  served  on  the  board  of 
directors  of  the  International  Friendship  Force,  which  is 
a  non-profit  organization  that  promotes  peace  and  good  will 
among  people  of  the  world  through  cultural  exchanges  which 
allow  foreigners  and  Americans  to  visit  with  one  another  as 
hosts  and  guests  in  their  respective  countries. 


222 


In  1990,  I  becaine  a  member  of  the  board  of  directors  of  the 
Atlanta  Convention  &  Visitors  Bureau,  a  non-profit  organiza- 
tion whose  primary  responsibility  is  to  market  the  City  of 
Atlanta  in  such  a  way  that  tourists  and  conventions  are 
attracted  to  the  City.   Because  I  am  a  sitting  judge,  my 
participation  is  limited  and  I  do  not  participate  in  any 
fundraising  activities,  nor  do  I  allow  my  name  to  be  used 
in  connection  with  any  marketing  strategy. 

I  serve  on  the  board  of  directors  of  the  Metropolitan 
Atlanta  Community  Foundation,  having  been  appointed  to  the 
board  in  1990.   This  is  a  philanthropic  organization  whose 
primary  objective  is  to  fund  community-based  programs  that 
will  address  various  community  needs  and  have  a  positive 
impact  on  the  social  and  economic  conditions  of  a  particular 
community.   Through  small  grants,  we  are  able  to  promote  the 
general  welfare  of  many  neighborhoods  and  communities. 

In  1993,  I  agreed  to  serve  on  the  board  of  directors  of  the 
Georgia  Health  Decisions,  which  is  a  non-profit  organization 
whose  board  represents  a  cross-section  of  the  state  on 
various  health  issues.   This  organization  is  now  in  the 
process  of  gathering  data  on  how  Georgians  view  their  health 
care  system  and  how  Georgians  prioritize  their  health  needs. 

Fulltime  Employment; 

Georgia  Court  of  Appeals  1990-Present 

Fulton  Superior  Court  1980-1990 

The  City  of  Atlanta  Municipal  Court  1975-1980 

Fulton  County  District  Attorney's  Office  1968-1975 

Atlanta  Legal  Aid  Society  1967-1968 

7.  Military  Service:   Have  you  had  any  military  service?   If 
so,  give  particulars,  including  the  dates,  branch  of 
service,  rank  or  rate,  serial  number  and  type  of  discharge 
received. 

Yes 

U.S.  Army 

1968  to  1970 

E-6;  Serial  #  US  53  457  468 

Honorable  Discharge 

8.  Honors  and  Awards;   List  any  scholarships,  fellowships, 
honorary  degrees,  and  honorary  society  memberships  that  you 
believe  would  be  of  interest  to  the  Committee. 

Omega  Man  of  the  Year  Award,  1991  (Highest  award  given  by 
Omega  Psi  Phi  Fraternity) 


223 


Al  Thompson  Award  for  Community  Service,  100%  Wrong  Club, 
1989 

Thurgood  Marshall  Award,  Outstanding  Jurist,  NAACP,  1988 

Community  Fellows  Program,  M.I.T.,  1978 

One  of  the  Most  Outstanding  Men  of  America,  1974 

Bronze  Star,  U.S.  Army,  1970  (for  tour  of  duty  in  Vietnam) 

Certificate  (or  letter)  of  Commendation,  U.S.  Army,  1968 

National  Defense  Service  Medal,  U.S.  Army 

Good  Conduct  Medal,  U.S.  Army 

Vietnam  Service  Medal,  U.S.  Army 

Vietnam  Company  Medal,  U.S.  Army 

Man  of  the  Year,  Clark  College,  1982 

Most  Studious,  Clark  College,  1964 

Bicentennial  Panel,  1987 

9.  Bar  Associations;   List  all  bar  associations,  legal  or 
judicial-related  committees  or  conferences  of  which  you  are 
or  have  been  a  member  and  give  the  titles  and  dates  of  any 
offices  which  you  have  held  in  such  groups. 

Lawyers  Club  of  Atlanta  State  Bar  of  Georgia 

Federal  Bar  Association  Atlanta  Bar  Association 

National  Bar  Association  Gate  City  Bar  Association 

American  Bar  Association  Old  Warhorse  Lawyer's  Club 
Supreme  Court  Commission  on 

Racial  &  Ethnic  Bias  in  the 

Court  System 

10.  Other  Memberships;   List  all  organizations  to  which  you 
belong  that  are  active  in  lobbying  before  public  bodies. 
Please  list  all  other  organizations  to  which  you  belong. 

Butler  Street  Y.M.C.A. 

Atlanta  Urban  League 

The  Friendship  Force  International 

The  Atlanta  Branch  NAACP  (Active  in  Lobbying) 

The  Atlanta  Convention  &  Visitors  Bureau 

Metropolitan  Atlanta  Community  Foundation 

Georgia  Alliance  for  Children  (Active  in  Lobbying) 

Omega  Psi  Phi  Fraternity 


224 


Kappa  Boule  (Sigma  Pi  Phi  Fraternity) 
100  Black  Men  of  Atlanta 
Georgia  Health  Decisions 

11.  Court  Admission:   List  all  courts  in  which  you  have  been 
admitted  to  practice,  with  dates  of  admission  and  lapses  if 
any  such  memberships  lapsed.   Please  explain  the  reason  for 
any  lapse  of  membership.   Give  the  same  information  for 
administrative  bodies  which  require  special  admission  to 
practice. 

Superior  Courts  of  Georgia,  1967 

State  Courts  of  Georgia,  1967 

Georgia  Court  of  Appeals,  1967 

Georgia  Supreme  Court,  1967 

U.  S.  District  Court  of  the  Northern  District  of 

Georgia,  1967 

12.  Published  Writings;   List  the  titles,  publishers,  and  dates 
of  books,  articles,  reports,  or  other  published  material  you 
have  written  or  edited.   Please  supply  one  copy  of  all 
published  material  not  readily  available  to  the  Committee. 
Also,  please  supply  a  copy  of  all  speeches  by  you  on  issues 
involving  constitutional  law  or  legal  policy.   If  there  were 
press  reports  about  the  speech,  and  they  are  readily 
available  to  you,  please  supply  them. 

"The  Judiciary  and  Its  Budget,"  Massachusetts  Institute 
of  Technology,  Community  Fellows  Program,  1978 
(See  Attachment  lA) 

The  Atlanta  Fulton  County  Juvenile  Justice  Commission 
Report,  1986  (I  chaired  the  commission  and  was  responsible 
for  the  content  of  the  report)   (See  Attachment  IB) 

"A  Judge ' s  Remarks  to  New  Bar  Admittees , "  YLS  News , 
February  1989,  pp.  2  and  3.   (See  Attachment  IC) 

Note:   Z  have  not  given  any  speeches  or  written  any  articles 
involving  constitutional  law  or  legal  policy. 

13.  Health:   What  is  the  present  state  of  your  health?   List  the 
date  of  your  last  physical  examination. 

My  health  is  good. 

June,  1993  (date  of  last  physical) 

14.  Judicial  Office:    State  (chronologically)  any  judicial 
offices  you  have  held,  whether  such  position  was  elected  or 
appointed,  and  a  description  of  the  jurisdiction  of  each 
such  court. 


225 


city  of  Atlanta  Municipal  Court/  1975-80  (appointed) 

The  City  Municipal  Court  of  the  City  of  Atlanta  has 

jurisdiction  over  all  cases  involving  the  violation 

of  municipal  ordinances  and  also  has  jurisdiction  to  hold 
preliminary  hearings. 

Fulton  Superior  Court/  1980-1990  (elected) 

The  Superior  Courts  of  Georgia  exercise  original,  exclusive 
and/or  concurrent  jurisdiction  in  all  civil  and  criminal 
cases  granted  to  them  by  the  constitution  and  laws  of 
Georgia.   They  also  exercise  the  power  of  a  court  of  equity 
and  have  appellate  jurisdiction  in  some  instances. 

Georgia  Court  of  Appeals/  1990-Present 

The  Court  of  Appeals  is  a  court  of  review  and  exercises 
appellate  and  certiorari  jurisdiction  in  all  cases  not 
reserved  to  the  Supreme  Court  or  conferred  on  other 
courts  by  law.   The  decisions  of  the  Court  of  Appeals 
insofar  as  not  in  conflict  with  those  of  the  Supreme 
Court  shall  bind  all  courts  except  the  Supreme  Court 
as  precedents. 

*The  following  percentages  reflect  my  trial  court  experience  as 
well  as  my  appellate  court  experience: 

What  percentage  of  your  litigation  was: 

Civil         70% 
Criminal      30% 

PERCENTAGE  OF  CASES  PRESIDED  OVER 

Number  Role 

Jury  Trials  200  (est.)  (62.5%)  Trial  Judge 
Bench  Trials  120  (est.)  (37.5%)  Trial  Judge 
Appeals  Court    * 1,080  (est.)  Appellate  Judge 

♦Opinions 


15.   Citations:   If  you  are  or  have  been  a  judge,  provide: 

(1)  citations  for  the  ten  most  significant  opinions  you  have 
written:   (If  published,  give  name  of  case  and  citations) 

(2)  a  short  summary  of  and  citations  for  all  appellate 
opinions  where  your  decisions  were  reversed  or  where  your 
judgment  was  affirmed  with  significant  criticism  of  your 
substantive  or  procedural  rulings;  and  (3)  citations  for 


226 


significant  opinions  on  federal  or  state  constitutional 
issues,  together  with  the  citation  to  appellate  court 
rulings  on  such  opinions.   If  any  of  the  opinions  listed 
were  not  officially  reported,  please  provide  copies  of  the 
opinions. 

Note;   See  Attachment  2A  for  citations  for  ten  most 
significant  opinions  written  and  Attachment  2B.  a  short  summary 
and  citations  for  opinions  reversed  or  where  judgment  was 
affirmed  with  significant  criticism.   As  to  (3) .  I  have  not, 
during  my  tenure  on  the  Georgia  Court  of  Appeals,  handled  any 
federal  or  constitutional  issues  inasmuch  as  these  issues  are 
reserved  exclusively  for  the  Georgia  Supreme  Court. 

16.  Public  Office;    State  (chronologically)  any  public  office 
you  have  held,  other  than  judicial  offices,  including  the 
terms  of  service  and  whether  such  positions  were  elected  or 
appointed.   State  (chronologically)  any  unsuccessful 
candidacies  for  elective  public  office. 

I  have  held  no  other  public  office,  other  than  judicial. 
In  1973,  I  was  an  unsuccessful  candidate  for  seat  on  the 
Fulton  County  Commission. 

17.  Legal  Career;    Note:   See  explanation  below 

a.    Describe  chronologically  your  law  practice  and 
experience  after  graduation  from  law  school 
including: 

1.  whether  you  served  as  clerk  to  a  judge, 
and  if  so,  the  name  of  the  judge,  the 
court,  and  the  dates  of  the  period  you 
were  a  clerk; 

2.  whether  you  practiced  alone,  and  if  so, 
the  addresses  and  dates; 

3.  the  dates,  names  and  addresses  of  law  firms 
or  offices,  companies  or  governmental 
agencies  with  which  you  have  been  connected, 
and  the  nature  of  your  connection  with  each; 

EXPLANATION:  Chronological  description  of  law  practice 
experience 

After  finishing  law  school,  I  was  actively  engaged  in 

the  practice  of  law  between  1967  and  1975,  and  occupied  the 

following  positions: 

Assistant  District  Attorney 
Fulton  County  (1968  -1975) 


227 


Fulton  County  District  Attorney's  Office 
13  6  Pryor  Street,  S.W. 
Atlanta,  Georgia   30303 

While  employed  as  an  assistant  district  attorney,  I  was 
drafted  into  the  U.S.  Army  and  was  subsequently  granted  a 
military  leave  by  the  District  Attorney  to  fulfill  my 
military  obligation. 

Law  Clerk,  JAGC  Office 
U.S.  Army  (1968-1970) 
Department  of  Army 
Washington,  D.C. 

While  serving  my  country  as  a  GI  in  Vietnam  it  was  my  job  to 
process  claims  for  and  against  the  U.S.  Army. 

Attorney 

Atlanta  Legal  Aid  Society  (1967) 

151  Spring  Street 

Atlanta,  Georgia   30335 

During  my  employment  with  the  Atlanta  Legal  Aid  Society, 
I  represented  poor  people  who  could  not  afford  to  hire 
private  counsel  to  represent  them  in  litigated  civil 
disputes. 

b.  1.    What  has  been  the  general  character  of  your  law 

practice,  dividing  it  into  periods  with  dates  if 
its  character  has  changed  over  the  years? 

As  an  Assistant  District  Attorney,  I  was  in  charge 
of  two  departments:   Automobile  Condemnations  and 
Uniform  Reciprocal  Enforcement  of  Child  Support. 

2.   Describe  your  typical  former  clients,  and  mention 
the  areas,  if  any,  in  which  you  have  specialized. 

I  represented  poor  people  as  a  legal  aid  attorney. 
As  an  Assistant  District  Attorney,  I  represented 
the  State  of  Georgia.   (Prior  to  becoming  a  judge, 
I  had  always  worked  in  the  public  sector.) 

c.  1.   Did  you  appear  in  court  frequently,  occasionally, 

or  not  at  all?   If  the  frequency  of  your 
appearances  in  court  varied,  describe  each  such 
variance,  giving  dates. 

I  appeared  in  court  from  time-to-time  in  my 
capacity  as  both  a  prosecutor  (1968-75)  and  an 
attorney  for  legal  aid  (1967)  representing 
indigents. 

8 


228 


2.  What  percentage  of  these  appearances  was  in: 

(a)  FEDERAL  COURT  1% 

(b)  STATE  COURTS  96% 

(c)  OTHER  COURTS  (Juvenile  Court)    3% 

3.  What  percentage  of  your  litigation  was: 

(a)  civil;      95% 

(b)  criminal.     5% 

4.  State  the  number  of  cases  in  courts  of  record 
you  tried  to  verdict  or  judgment  (rather  than 
settled) ,  indicating  whether  you  were  sole 
counsel,  chief  counsel,  or  associate  counsel. 

CRIMINAL  -  Approx.  15  cases  (sole  counsel) 
CIVIL    -  Approx.  15  cases  (sole  counsel) 

5.   What  percentage  of  these  trials  was: 

(a)  jury;         1% 

(b)  non-jury.     99% 

18.  Litigation:   Describe  the  ten  most  significant  litigated 
matters  which  you  personally  handled.   Give  the  citations, 
if  the  cases  were  reported,  and  the  docket  number  and  date 
if  unreported.   Give  a  capsule  summary  of  the  substance  of 
each  case.   Identify  the  party  or  parties  whom  you 
represented;  describe  in  detail  the  nature  of  your 
participation  in  the  litigation  and  the  final  disposition  of 
the  case.   Also  state  as  to  each  case: 

(a)  the  date  of  representation; 

(b)  the  name  of  the  court  and  the  name  of  the  judge  or 
judges  before  whom  the  case  was  litigated;  and 

(c)  The  individual  name,  addresses,  and  telephone  numbers 
of  co-counsel  and  of  principal  counsel  for  each  of  the 
other  parties. 

(See  Attachment  3) 

19.  Legal  Activities:   Describe  the  most  significant  legal 
activities  you  have  pursued,  including  significant 
litigation  which  did  not  progress  to  trial  or  legal  matters 
that  did  not  involve  litigation.   Describe  the  nature  of 
your  participation  in  this  question,  please  omit  any 
information  protected  by  the  attorney-client  privilege 
(unless  the  privilege  has  been  waived.) 


229 


In  the  case  of  Charlotte  Buckner.  individually  and  as 
natural  mother  of  Tameka  Buckner.  deceased  and  Kina 
Buckner.  deceased  v.  Brown  Transport  (companion  cases: 
Fulton  Superior  Court  civil  action  nos.  D-29931, 
D-29932,  and  D-29933)  a  wrongful  death  action,  I  was 
instrumental  in  getting  the  parties  to  settle  a  complicated 
case  (involving  the  application  of  Alabama  law)  that  would 
have  taken  quite  a  while  to  try.   My  involvement  in  the  case 
came  at  the  request  of  counsel,  who  felt  too  much  was  at 
stake  for  both  parties.   The  case  settled  for  four  million 
dollars. 

I  currently  co-chair  the  Georgia  Supreme  Court  Commission  on 
Racial  &  Ethnic  Bias  in  the  Court  System.  The  commission  is 
now  conducting  public  hearings  throughout  the  state  in  an 
effort  to  ascertain  whether  or  not  the  problem  (be  it  actual 
or  perceptual)  is  systemic  in  nature.  After  the  commission 
concludes  its  fact-finding  mission,  it  will  submit  a  written 
report  to  the  Supreme  Court  of  Georgia  with  recommendations. 


10 


/ 


230 


II.   FINANCIAL  DATA  AND  CONFLICT  OF  INTEREST  (PUBLIC) 

List  sources,  amounts  and  dates  of  all  anticipated  receipts 
from  deferred  income  arrangements,  stock,  options, 
uncompleted  contracts  and  other  future  benefits  which  you 
expect  to  derive  from  previous  business  relationships, 
professional  services,  firm  memberships,  former  employers, 
clients,  or  customers.   Please  describe  the  arrangements 
you  have  made  to  be  compensated  in  the  future  for  any 
financial  or  business  interest. 

While  serving  as  a  Superior  Court  Judge  in  Fulton  County, 
I  participated  in  the  county's  deferred  compensation 
plan  for  several  years.  My  participation  in  the  plan 
automatically  terminated  when  I  was  appointed  to  fill  a 
vacancy  on  the  Georgia  Court  of  Appeals.   I  allowed  the 
sum  of  money  that  had  been  deferred  to  remain  with  the 
investor  until  the  year  2002,  at  which  time  the  amount 
deferred  will  be  returned  to  me  in  periodic  monthly 
payments  over  a  period  of  time. 

As  an  Appellate  Court  Judge,  I  now  particpate  in  the 
State  of  Georgia's  deferred  compensation  plan.   My 
participation  will  terminate  when  I  leave  the  Georgia  Court 
of  Appeals  for  the  federal  bench.   At  that  time  I  plan 
to  make  the  same  arrangements  with  the  State  investor 
as  I  did  with  the  County  investor.   That  is  to  say, 
I  will  allow  whatever  sum  has  accumulated  to  remain 
with  the  investor  until  the  year  2002. 

I  also  own  shares  of  stock  in  the  Coca  Cola  Company, 
Toys  R  Us,  Home  Depot  and  CEMAX.   Should  cases 
be  assigned  to  me  involving  any  or  all  of  the  above 
companies,  I  shall  make  it  known  to  the  parties  an 
recuse  myself  from  presiding  over  such  cases.   In  the 
alternative  I  may  decide  to  sell  my  stock. 

Explain  how  you  will  resolve  any  potential  conflict  of 
interest,  including  the  procedure  you  will  follow  in 
determining  these  areas  of  concern.   Identify  the 
categories  of  litigation  and  financial  arrangements 
that  are  likely  to  present  potential  conf licts-of- 
interest  during  your  initial  service  in  the  position 
to  which  you  have  been  nominated. 

Should  cases  be  assigned  to  my  division  of  court  involving 
any  or  all  of  the  aforementioned  companies,  I  shall  make 
it  known  to  the  parties  and  ask  to  be  recused  from  the 
case.   I  intend  to  follow  the  guidelines  of  the  Code 
of  Judicial  Conduct  as  it  relates  to  conflicts. 


11 


231 


I  can  foresee  the  possibility  of  one  of  the  companies  in 
'  which  I  have  a  financial  interest  becoming  a  party  to  a 
ivil  lawsuit  assigned  to  my  division  of  court;  and  if 
such  were  to  occur,  I  would  resolve  the  conflict  or 
potential  conflict  in  the  manner  described  above. 

3.  Do  you  have  any  plans,  commitments,  or  agreements  to  pursue 
outside  employment,  with  or  without  compensation,  during 
your  service  with  the  court?   If  so,  explain. 

No 

4.  List  sources  and  amounts  of  all  income  received  during  the 
calendar  year  preceding  your  nomination  and  for  the  current 
calendar  year,  including  all  salaries,  fees,  dividends, 
interest,  gifts,  rents,  royalties,  patents,  honoraria,  and 
other  items  exceeding  $500  or  more  (If  you  prefer  to  do  so, 
copies  of  the  financial  disclosure  report,  required  by  the 
Ethics  in  Government  Act  of  1978,  may  be  subtituted  here.) 

See  attached  Financial  Disclosure  Report. 

5.  Please  complete  the  attached  financial  net  worth  statement 
in  detail  (Add  schedules  as  called  for) 

(See  Attachment  4) 

6.  Have  you  ever  held  a  position  or  played  a  role  in  a 
political  campaign?   If  so,  please  identify  the 
particulars  of  the  campaign,  including  the  candidate, 
dates  of  the  ampaign,  your  title  and  responsibilities. 

No,  I  have  never  held  a  position  nor  played  a  role  in 
a  political  campaign.   However,  while  in  law  school,  I 
did  distribute  campaign  literature  for  Representative 
William  Alexander,  who  was  seeking  re-election  to  his 
House  seat  in  the  Georgia  General  Assembly  in  1966. 
Mr.  Alexander  is  now  a  Fulton  Superior  Court  judge. 
My  role  was  so  minor  that  I  doubt  if  he  will  remember. 


12 


232 


III.   GENERAL  (PUBLIC) 

An  ethical  consideration  under  Canon  2  of  the  American  Bar 
Association's  Code  of  Professional  Responsibility  calls  for 
"every  lawyer,  regardless  of  professional  prominence  or 
professional  workload,  to  find  some  time  to  particiapte  in 
serving  the  disadvantaged."   Describe  what  you  have  done  to 
fulfill  these  responsibilities,  listing  specific  instances 
and  the  amount  of  time  devoted  to  each. 

As  a  judge,  I  cannot  engage  in  pro  bono  legal  work. 
However,  I  do  represent  the  Georgia  Court  of  Appeals 
on  the  State  Bar ' s  Pro  Bono  Committee  and  have  given 
speeches  encouraging  lawyers  to  become  more  invovled 
in  pro  bono  cases. 

I  also  serve  on  the  Advisory  Committee  for  the 
International  Friendship  Force.   The  Friendship  Force 
promotes  international  exchanges  between  and  among  people 
from  different  parts  of  the  world.   (One  might  say  that  the 
Friendship  Force  serves  as  an  unofficial  ambassador  for 
this  country.) 

The  American  Bar  Association's  Commentary  to  its  Code  of 
Judicial  Conduct  states  that  it  is  inappropriate  for  a 
judge  to  hold  membership  in  any  organization  that 
invidiously  discriminates  on  the  basis  of  race,  sex,  or 
religion.   Do  you  currently  belong,  or  have  you  belonged, 
to  any  organization  which  discriminates  —  through  either 
formal  membership  requirements  or  the  practical  imple- 
mentation of  membership  policies?   If  so,  list,  with 
dates  of  membership.   What  have  you  done  to  try  to 
change  these  policies? 

No 

Is  there  a  selection  commission  in  your  jurisdiction  to 
recommend  candidates  for  nomination  to  the  federal  courts? 
If  so,  did  it  recommend  your  nomination?  Please  describe 
your  experience  in  the  entire  judicial  selection  process, 
from  beginning  to  end  (including  the  circumstances  which 
led  to  your  nomination  and  interviews  in  which  you 
participated) . 

Yes 

Shortly  after  President  Clinton  took  office,  I  was  told  that 
two  federal  district  court  judges  in  Atlanta,  Marvin  Shoob 
and  Richard  Freeman,  had  taken  Senior  Judges  status,  thereby 
creating  two  judicial  vacancies  that  were  to  be  filled  by 
presidential  appointment. 


13 


/ 

/ 


1 


233 


Because  I  had  been  a  judge  for  over  17  years  and  had  always 
wanted  to  become  a  federal  judge,  I  immediately  wrote 
Senator  Sam  Nunn  and  expressed  a  desire  to  fill  one  of  the 
two  vacancies  in  the  Atlanta  area.   Senator  Nunn,  in  a 
letter  to  me,  stated  that  a  judicial  screening  committee 
would  be  created  to  interview  applicants  who  were 
interested  in  federal  judgeships  and  that  the  screening 
committee  would  contact  me.   After  the  committee  was 
created,  the  committee,  in  response  to  my  letter  to  Senator 
Nunn,  sent  me  a  questionnaire  to  be  executed  and  returned  to 
Senator  Nunn  and  the  members  of  the  screening  committee. 
I  executed  the  questionnaire  and  mailed  copies  of  my 
responses  to  Senator  Nunn  and  the  nine  member  Judicial 
Screening  Committee. 

Several  weeks  later,  I  was  contacted  by  a  member  of  the 
judicial  screening  committee  and  told  when  and  where  to 
report  for  my  interview  with  the  committee.   I  was 
interviewed  by  the  nine-member  committee  for  approximately 
one  hour.   My  interview  was  thorough  but  friendly,  and  each 
member  questioned  me  relative  to  my  qualifications  to  serve 
as  a  federal  district  court  judge. 

A  few  weeks  after  my  initial  interview,  I  received  a 
telephone  call  from  an  aide  in  Senator  Nunn's  office  to 
schedule  a  personal  confidential  interview.   My  interveiw 
with  Senator  Nunn  lasted  at  least  4  5  minutes  to  and  an  hour. 
We  discussed  my  qualifications,  my  views  on  judicial 
activism  and  a  host  of  other  law  related  issues.   At  the  end 
of  the  interview  Senator  Nunn  told  me  that  I  would  be 
hearing  from  his  office  soon. 

Several  weeks  following  my  interview  with  Senator  Nunn, 
he  telephoned  me  at  my  residence  and  told  me  that  he  had 
decided  to  recommend  me  for  appointment  to  fill  one  of 
the  two  vacancies  on  the  federal  district  court  bench  in 
Atlanta  and  that  he  wanted  my  permission  to  recommend 
my  name  to  the  President  of  the  United  States.   I,  of 
course,  was  elated  and  gladly  told  him  he  had  my 
permission  to  refer  my  name  to  the  President. 

Since  my  interview  with  Senator  Nunn,  I  have  undergone 
background  investigations  conducted  by  the  Department  of 
Justice,  the  Federal  Bureau  of  Investigation  and  the 
American  Bar  Association.   Besides  being  personally 
interviewed,  I  have  executed  questionnaires  and  submitted 
documents  pertinent  to  the  information  sought  by  each  of 
these  agencies. 

4 .    Has  anyone  involved  in  the  process  of  selecting  you  as  a 

judicial  nominee  discussed  with  you  any  specific  case,  legal 
issue  or  question  in  a  manner  that  could  reasonably  be 

14 


234 


interpreted  as  asking  how  you  would  rule  on  such  case, 
issue,  or  question?   If  so,  please  explain  fully. 

No 

5.    Please  discuss  your  views  on  the  following  criticism 
involving  "judicial  activism." 

The  role  of  the  Federal  judiciary  within  the  Federal 
government,  and  within  society  generally,  has  become  the 
subject  of  increasing  controversy  in  recent  years.   It  has 
become  the  target  of  both  popular  and  academic  criticism 
that  alleges  that  the  judicial  branch  has  usurped  many  of 
the  perogatives  of  other  branches  and  levels  of  government. 

Some  of  the  characteristics  of  this  "judicial  activism:  have 
been  said  to  include: 

a.  A  tendency  by  the  judiciary  toward  problem  solving 
rather  than  grievance-resolution; 

b.  A  tendency  by  the  judiciary  to  employ  the  individual 
plaintiff  as  a  vehicle  for  the  imposition  of  far- 
reaching  orders  extended  to  broad  classes  of 
individuals; 

c.  A  tendency  by  the  judiciary  to  impose  broad, 
affirmative  duties  upon  governments  and  society; 

d.  A  tendency  by  the  judiciary  toward  loosening 
jurisictional  requirements  such  as  standing  and 
ripeness;  and 

e.  A  tendency  by  the  judiciary  to  impose  itself  upon 
other  institutions  int  he  manner  of  an  administrator 
with  continuing  oversight  responsibilities. 

If  one  were  to  define  the  role  of  a  judge  in 
our  system  of  government,  one  would  first 
refer  to  the  concept  of  separation  of  powers 
in  the  United  States  Constitution.   This 
concept  not  only  clearly  defines  the  role  of 
the  judiciary,  but  it  also  vividly  defines 
what  roles  the  other  two  branches  of  the 
government  are  to  play.   The  judicial  branch 
in  conjunction  with  the  legislative  and 
executive  branches  of  our  government  play  a 
vital  role  in  the  administration  of  justice. 


15 


235 


Quite  simply,   a  judge  must  interpret  and 
apply  the  laws  enacted  by  the  legislative 
branch.   A  judge  should  not  use  his/her 
judicial  position  to  enact  laws  since  the 
enactment  of  laws  is  exclusively  reserved  to 
another  branch  of  government.   Nor  should  a 
judge  execute  laws  since  that  function  is 
exclusively  reposed  in  the  executive  branch 
of  government.   Where  the  law  is  not  clear,  a 
judge  should  seek  to  determine  the 
legislative  intent  as  to  the  particular  area 
of  the  law  involved  and  guard  against 
imposing  his  or  her  own  personal  view. 
Therefore,  the  concept  of  separation  of 
powers  as  well  as  our  system  of  checks  and 
balances  clearly  delineates  the  respective 
roles  of  each  branch  of  government.   These 
roles  should  not  overlap  but  complement  one 
another. 

In  short,  it  is  the  judge's  responsibility  to 
ensure  not  only  a  fair  and  impartial  hearing, 
but  also  a  hearing  in  a  dignified,  orderly 
manner. 

Once  a  judge  clearly  understands  his/her  role 
in  the  administration  of  justice,  he/she  must 
then  focus  on  the  legal  issue (s)  in  cases 
before  him/her.   Before  he/she  can  act  in  a 
judicial  manner,  he/she  must  ascertain 
whether  or  not  the  parties  have  standing  and 
that  the  legal  issue  is  ripe  for  resolution. 
He/she  must  then  ascertain  whether  or  not 
there  exists  precedent  to  guide  him/her  in 
his/her  decision.   Once  he/she  has  done  this, 
he/she  must  render  a  decision  based  upon  the 
law. 


16 


236 


ATTACHMENT  2A 
(In  response  to  question  15) 

CITATIONS  TO  TEN  MOST  SIGNIFICANT  CASES 


1.  Macon  Telegraph  Publishing  Co.  v.  Tatuin.  208  Ga.  App.  Ill,  430 
S.E.2d  18  (1993) 

2.  J  &  A  Pipeline  Co.  v.  DeKalb  County.  208  Ga.  App.  123,  430  S.E.2d 
13  (1993) 

3.  Dorsev  V.  State.  206  Ga.  App.  709,  426  S.E.2d  224  (1992) 

4.  Weeks  V.  State.  206  Ga.  App.  431,  425  S.E.2d  421  (1992) 

5.  Circle  H  Development.  Inc.  v.  Woodstock.  206  Ga.  App.  473,  425  S.E. 
2d  891  (1992) 

6.  Restina  v.  Crawford.  205  Ga.  App.  887,  424  S.E. 2d  79  (1992) 

7.  Shepard  v.  Federal  Land  Bank  of  Columbia.  205  Ga.  App.   254,  421 
S.E. 2d  763  (1992) 

8.  Agan  v.  State.  203  Ga.  App.  363,  417  S.E. 2d  156  (1992) 

9.  In  re  Jones.  198  Ga.  App.  228,  401  S.E. 2d  278  (1990) 
10.   Mapp  V.  State.  197  Ga.  App.  7,  397  S.E. 2d  476  (1990) 


237 

ATTAC«MENT  2  B 
(In  response  to  question  15) 

CASES  REVERSED  OR  AFFIRMED  WITH  SIGNIFICANT  CRITICISM 

1.  Fountain  v.  Atlanta  Casualty  Co. .  200  Ga.  App.  643,  409  S.E.2d  239 
(1991)  ,  reversed  in  Atlanta  Casualty  Co.  v.  Fountain.  262  Ga.  16,  413 
S.E.2d  450  (1992) .  ^ 

The  Supreme  Court  reversed  our  opinion  holding  that  the  insurance 
company's  declaratory  judgment  action  was  inappropriate  because  the 
petition  for  declaratory  judgment  did  not  disclose  why  the  insurance 
company  needed  direction  from  the  court.  The  Supreme  Court  reasoned 
that  the  insurance  company  had  adequately  demonstrated  a  need  for  a 
legal  judgment  that  would  control  its  future  action. 

2.  CSX  Transportation.  Inc.  v.  Levant.  200  Ga.  App.  856,  410  S.E.2d 
299  (1991)  ,  reversed  in  CSX  Transportation.  Inc.  v.  Levant.  262  Ga.  313, 
417  S.E.2d  320  (1992) . 

In  this  appeal  of  a  personal  injury  action  brought  under  the 
Federal  Employer's  Liability  Act  (FELA) ,  we  upheld  the  jury's  award  of 
one  million  dollars  to  the  plaintiff.  The  Supreme  Court  reversed, 
finding  that  the  jury's  award  was  excessive  and  that  the  jury  must  have 
been  awarding  punitive  damages  which  are  not  allowed  in  FELA  actions. 

3.  Nelson  V.  Felton  Pearson  Co..  195  Ga.  App.  92,  392  S.E.2d  274 
(1990)  ,  reversed  in  Felton  Pearson  Co.  v.  Nelson.  260  Ga.  513,  397 
S.E.2d  431)  (1990)  . 

The  Supreme  Court  reversed  our  construction  of  OCGA  34-9-105  (b)  , 
which  sets  forth  the  procedure  for  appealing  a  decision  of  the  State 


238 


Board  of  Worker's  Compensation.  The  Supreme  Court  construed  the  statute 
differently,  noting  that  its  construction  was  consistent  with  the  policy 
of  the  statute  in  promoting  a  speedy  resolution  of  worker's  compensation 
cases . 

4.  Baxlev  Veneer  &  Clete  Co.  v.  Maddox.  198  Ga.  App.  235,  401  S.E.2d 
282  (1990)  ,  reversed  in  Baxlev  Veneer  &  Clete  Co.  v.  Maddox.  261  Ga. 
309,  404  8.E.2d  554  (1991). 

On  appeal,  we  held  that  there  was  evidence  from  which  a  jury 
could  determine  that  there  had  been  part  performance  of  an  oral  contract 
such  as  to  remove  the  contract  from  the  operation  of  the  statute  of 
frauds.  Consequently,  we  affirmed  the  trial  court's  denial  of 
defendant's  motion  for  directed  verdict.  The  Supreme  Court  disagreed 
and  reversed,  finding  that  the  evidence  was  not  sufficient  to  reach  the 
jury. 

5.  Bliqe  V.  State.  205  Ga.  App.  133,  421  S.E.  2d  547  (1992),  reversed 
in  Bliqe  v.  State.  263  Ga.  244,  430  S.E. 2d  761  (1993). 

The  Supreme  Court  affirmed  our  decision  which  upheld  the 
defendant's  conviction.  However,  the  Supreme  Court  disapproved  our 
decision  to  the  extent  that  it  suggested  that  the  State  could  comment 
on  the  defendant's  failure  to  call  an  expert  witness  without  laying  the 
proper  foundation. 

6.  Findley  v.  Davis  et  al..  202  Ga.  App.  332,  414  S.E. 2d  317  (1991), 
reversed  in  Davis  et  al.  v.  Findley.  262  Ga.  612,  422  S.E. 2d  859  (1992). 


239 


On  appeal,  we  held  that  plaintiff's  allegation  that  defendant 
charged  excessive  fees  for  legal  services  in  violation  of  the  Code  of 
Professional  Responsibility  was  sufficient  to  sustain  a  claim  for  legal 
malpractice.  The  Supreme  Court  reversed,  finding  that  a  violation  of 
the  Code  of  Professional  Responsibility  alone  could  not  establish  a 
basis  for  a  legal  malpractice  action. 

7.  Corim.  Inc.  v.  Belvin  et  al.  .  202  Ga.  App.  396,  414  S.E.2d  491 
(1991) ,  reversed  in  Crossroads  Bank  of  Ga.  et  al.  v.  Corim.  Inc..  262 
Ga.  364,  418  S.E.Zd  601  (1992). 

The  Supreme  Court  reversed  our  determination  that  a  properly 
recorded  judgment  lien  had  priority  over  a  perfected  purchase  money 
security  interest.  The  Supreme  Court  construed  two  ambiguous  statutes 
differently,  holding  that  the  general  scheme  of  the  UCC  reflected  a 
preference  for  purchase  money  security  interests  and  that  a  judgment 
lienholder  should  not  be  equated  with  a  lien  creditor. 

8.  Hummel  v.  Gainesville  Radiology  Group.  P.  C. .  205  Ga.  App.  157,  421 
S.E.2d  333  (1992),  reversed  in  Gainesville  Radiolocrv  Group.  P.  C.  v. 
Hummel.  263  Ga.  91,  428  8.E.2d  786  (1993). 

The  Supreme  Court  reversed  our  determination  that  a  grossly 
inattentive  juror's  failure  to  answer  a  material  question  during  voir 
dire  was  tantamount  to  giving  an  untruthful  answer  and  could  not  be 
considered  harmless  error.  The  Supreme  Court  held  that  no  new  trials 
will  be  granted  under  such  circumstances  unless  the  movant  can 
demonstrate  that  a  juror  failed  to  honestly  answer  a  material  question 


240 


on  voir  dire  and  that  a  correct  response  would  have  provided  a  valid 
basis  for  a  challenge  for  cause. 

9.  York  Rite  Bodies  of  Freemasonry  of  Savannah  v.  Bd.  of  Equalization 
of  Chatham  Countv.  202  Ga.  App.  487,  414  S.E.2d  749  (1991),  reversed  in 
York  Rite  Bodies  of  FreemaBonry  v.  Bd.  of  Equalization  of  nhatihw 
Countv.  261  6a.  558,  408  S.E.2d  699  (1991). 

In  part  of  our  opinion,  we  held  that  the  properties  of  two 
masonic  organizations  were  not  entitled  to  the  ad  valorem  tax  exemption 
allowed  for  public  charities  because  the  properties  were  used  as  meeting 
places.  The  Supreme  Court  reversed  holding  that  the  fact  that  the 
properties  were  used  as  meeting  places  did  not  preclude  their  use  froa 
being  exclusively  devoted  to  charitable  purposes. 

10.  McDaniel  v.  Hendricks.  195  Ga.  App.  252,  393  S.E.2d  4  (1990), 
reversed  in  McDaniel  v.  Hendricks.  260  Ga.  857,  401  8.E.2d  260  (1991). 

In  this  medical  malpractice  action,  we  held  that  the  plaintiff's 
expert  affidavit  was  based  on  a  local  standard  of  care  and  was 
insufficient  to  withstand  the  defendant -physician ' s  motion  for  summary 
judgment.  The  Supreme  Court  reversed,  relying  on  favorable  inferences 
which  could  be  drawn  from  the  expert  affidavit. 


241 


ATTACHMENT  3 


Attachment  #3   (Response  to  Question  #18) 

TRIAL  EXPERIENCE  DURING  THE  TIME  I  WAS  EMPLOYED  AS  AN  ATTORNEY 
WITH  ATLANTA  LEGAL  AID  AND  THE  FULTON  COUNTY  DISTRICT  ATTORNEY'S 
OFFICE: 

NOTE:   Since  there  are  no  computerized  or  verifible  records 

readily  available,  tbe  following  cases  represent  my  best 
recollection  of  tbe  facts  and  data  surrounding  each. 

In  tbe  Interest  of  James  Butler,  et  al.  (Juvenile  Delinauentsl ; 

In  1967,  while  employed  as  a  legal  services  attorney,  I 
represented  three  juveniles  who  had  been  charged  with  burglary. 
There  defense  prior  to  and  during  the  trial  was  that  they  were 
somewhere  else,  not  necessarily  together,  on  the  day  of  the 
burglary.   Even  though  their  alibi  defense  was  somewhat  weak,  the 
juvenile  court  judge  had  not  alternative  but  to  dismiss  the  case 
because  the  eye  witness,  a  neighbor,  who  claimed  to  have  seen 
them  enter  the  home  of  the  elderly  victim  could  not  give  a 
positive  identification  at  trial.   Realizing  the  weakness  in  my 
clients'  alibi  defense,  I  noted  that  the  eye  witness,  because  of 
age  and  infirmity  was  not  absolutely  sure  of  whom  she  saw  and  the 
time  at  which  she  witnessed  the  incident.   My  cross  examination 
of  the  eye  witness  regarding  the  identity  of  the  youngsters  she 
saw  was  very  effective. 

Date  of  Trial:      1967  (Summer) 

Court  &  Judge:      Judge  Elmo  Holt,  Fulton  County  Juvenile  Court 

Co-Counsel:         Sole  Counsel 

Defense  Counsel:    Unknown 

Emma  Thomas  v.  Department  of  Family  i   Children  Services: 

In  this  case,  there  was  a  regulation  of  the  Department  of  Family 
and  Children  Services  known  as  "the  substitute  father  rule."   In 
essence,  this  rule  required  social  workers  to  make  random  calls 
at  the  home  of  mothers  who  were  receiving  Aid  to  Dependent 
Children  benefits  and  if  they  found  a  man  in  the  house  then  the 
man  would  be  declared  to  be  a  "substitute  father"  and  the 
children's  welfare  benefits  would  be  automatically  terminated. 
This  rule  was  first  challenged  in  the  Superior  Court  of  Fulton 
County  and  later  in  the  U.  S.  District  Court  in  the  Middle 
District  of  Georgia.   We  were  able  to  obtain  temporary  injunctive 
relief,  thereby  temporarily  enjoining  the  enforcement  of  the 
"substitute  father  rule."  Thereafter,  the  Department  of  Family 
and  Children  Services  was  permanently  enjoined  by  a  three-judge 
panel. 

Date  of  Trial:       Unknown 


242 


Court  &  Judge ; 


Co-Counsel : 


Defense  Counsel: 


Judge  Durwood  Pye,  Fulton  Superior  Court; 
Three  Judge  Panel  Judge  Boodle,  Judge  Griffin 
Bell  and  Judge  Elliott 

William  Skinner  (Lead  Counsel) 
Suite  485  One  West  Court  Sq. 
Decatur,  Georgia   30030 
(404)  377-0466 

Unknovm 


Clara  Jones'  Welfare  Case;   (An  Administrative  Hearing) 

In  early  1968,  I  represented  a  young  woman  before  the  Fulton 
County  Welfare  Board.   The  young  woman's  public  assistance  had 
been  terminated  prior  to  a  hearing  on  the  issues  of  whether  or 
not  a  substitute  father  had  been  rooming  and  boarding  with  her. 
(The  woman  had  four  children  and  they  were  literally  starving.) 
I  argued  that  termination  of  public  assistance  in  the  absence  of 
a  hearing  was  in  violation  of  the  "due  process  clause"  of  the 
U.S.  Constitution.   Several  days  after  the  hearing,  the  Welfare 
Department  reinstated  public  assistance  to  her. 


Date  of  Trial: 
Court  &  Judge : 
Co-Counsel: 


1968 

Administrative  Law  Judge 

Sole  Counsel 


Defense  Counsel: 


Unknown 


State  v«  Robert  Tucker;   Rape  Case 

Defendant  raped  victim  in  the  presence  of  her  two  grandchildren, 
ages  8  and  9.   Although  both  children  testified  to  facts  that 
would  indicate  rape,  the  jury  (which  deliberated  eight  hours) 
returned  a  verdict  of  not  guilty.   I  was  very  upset  over  the  fact 
that  the  jury  did  not  believe  the  two  children  who  were  credible 
witnesses.   The  jurors  (some  of  whom  were  questioned  after  the 
trial)  found  it  difficult  to  believe  that  the  defendant,  who  was 
young,  attractive,  well-dressed,  would  want  to  rape  a  woman  who 
was  much  older  and  unattractive.   Because  of  the  above  two 
factors,  the  jury  felt  that  the  sexual  encounter  was  consensual. 
This  was  my  first  and  only  capital  felony  case. 


Date  of  Trial: 
Court  &  Judge: 
Co-Counsel: 
Defense  Counsel: 


Two-day  trial;  occurred  in  1971  or  72 

Judge  Elmo  Holt,  Fulton  Superior  Court 

Sole  Counsel 

Attorney  Billy  L.  Spruell 
4840  Roswell  Road.,  N.E. 
Atlanta,  Georgia   30342-2635 

(404)257-0777 


243 


Rachael  Kendricks  v.  Social  Security  Administration; 

While  working  as  an  Assistant  District  Attorney,  I  obtained 
permission  to  assist  my  cousin,  Rachael  Kendricks,  now  deceased 
in  preparing  her  case  for  argument  before  the  Social  Security   ' 

tl  :^   Although  I  do  not  recall  the  exact  details  of  her  problem 
with  the  Social  Security  Administration,  I  do  know  that  she  had 
been  denied  certain  benefits  to  which  she  was  entitled  by  virtue 
of  her  medical  condition  (poor  health) .   She  won  her  case  and  the 
benefits  denied  or  terminated  were  reinstated. 

Date  of  Trial:       1971  (approx.) 

Court  &  Judge:      Hearing  Officer 

Co-Counsel:         Co-Counsel  Unknown 

Defense  Counsel:     Unknown 

State  V.  Fred  Thomas:   Habitual  Traffic  Violator  act 

Defendant  had  been  found  guilty  of  numerous  traffic  violations 
including  several  DUI's.   Under  the  above  Act,  which  is  designed 
to  remove  habitual  traffic  offenders  from  the  streets,  the 
defendant  was  found  to  be  a  habitual  violator  and  his  drivina 

arauiinnhrrfH-''^rv'*^'^  ^°''  ^^^^  ^^^  i'^^'^^'  ^  overcame  thl 
argument  that  this  Act  was  expost  facto.  This  conviction  was 
among  the  first  in  Georgia  under  this  Act. 

Date  of  Trial:      Unknown 

Court  &  Judge:      Presiding  Judge,  Fulton  Superior  Court 

Co-Counsel:         Sole  Counsel 

Defense  Counsel:    Unknown 

State  V.  T.  Krunkleton:   Uniform  Reciprocal  Enforcement  of 

BUppOlTt 

Petition  of  support  was  filed  against  defendant  in  a  New  York 
ltTt^/^"'   ^°^!^  ^"^  petition  here  and  a  hearing  on  parentage 
rtvK   K  f ^"''^  defendant  denied  that  he  was  the  father  of  twins 
Although  twins  were  born  out  of  wedlock,  there  was  evidence  iSich 
tituTt""   th^t  the  defendant  provided  the  mother  of  tie  ?wtns 
with  a  home  and  paid  the  entire  hospital  bill.   Later,  the 
defendant  signed  the  twins'  birth  certificate.   Defendant  was 
found  to  be  the  father.   This  was  a  "hotly"  contested  case 

Date  of  Trial:       Unknown 


244 


Court  &  Judge:      Presiding  Judge,  Fulton  Superior  Court 

Co-Counsel:         Sole  Counsel 

Defense  Counsel:    Unknown 

State  V.  Charles  McLeod;   Automobile  Condemnation 

Defendant  sought  to  recover  his  auto,  which  had  been  impounded 
for  a  drug  violation  while  his  son  had  possession  of  it.   In 
order  to  substantiate  impoundment,  I  had  to  connect  defendant 
with  offense  by  showing  that  he  had  knowledge  of  the  illegal  use. 

Date  of  Trial:      Unknown 

Court  &  Judge:      Presiding  Judge,  Fulton  Superior  Court 

Co-Counsel:         Sole  Counsel 

Defense  Counsel:    Unknown 

Mary  Doe's  Petition  of  Support:  (URESA  Case) 

A  Michigan  woman,  who  claimed  that  her  ex-husband  was  a  member  of 
the  "Dixie  Mafia,"  filed  a  petition  for  child  support  under  the 
Uniform  Reciprocal  Enforcement  of  Support  Act  against  her  former 
spouse  who  had  fled  to  Atlanta,  Georgia,  to  escape  his  child 
support  obligation.   When  the  sheriff  attempted  to  serve  him  with 
the  petition  of  support  at  the  address  which  she  had  given,  the 
sheriff  discovered  that  the  ex-husband  was  not  a  resident  at  that 
address.   When  told  by  the  Michigan  court  that  the  sheriff  was 
unable  to  serve  her  former  husband  at  the  address  provided,  the 
woman  started  making  long  distance  telephone  calls  to  my  office, 
claiming  that  we  were  either  afraid  to  serve  him  or  that  we  were 
being  paid  to  protect  him  because  of  his  alleged  ties  to  the 
"Dixie  Mafia".   Despite  misgivings  about  our  sincere  efforts  to 
serve  her  ex-husband,  she  continued  to  send  us  information — 
including  his  photo — concerning  his  whereabouts  and  various 
aliases  he  might  be  using.   After  service  was  made  on  him 
sometime  later,  he  absconded  after  being  placed  under  order  to 
make  his  child  support  payments. 

Date  of  Trial:  Unknown 

Court  &  Judge:  Presiding  Judge,  Fulton  Superior  Court 

Co-Counsel:  Sole  Counsel 

Defense  Counsel:  Unknown 

In  the  Interest  of:  Several  Juveniles;   (Cannot  recall  names) 

In  1973,  while  assigned  to  Fulton  Juvenile  Court  as  a  prosecutor, 
I  prosecuted  several  juveniles  who  had  been  charged  with 


245 


shoplifting  at  a  downtown  department  store.   I  can't  remember 
what  items  they  were  accused  of  taking,  but  the  items  were 
inexpensive  and  collectively  did  not  exceed  $100  in  value.   The 
juveniles,  together  with  their  attorney,  argued  that  they  had  not 
left  the  store  at  the  time  they  were  stopped  by  the  store's 
security  guard.   They  claimed  that  they  were  going  to  pay  for  the 
items  prior  to  leaving  the  store.   However,  the  evidence  showed 
that  the  items  taken  were  concealed  and  stashed  under  their 
clothes  and  were  not  openly  visible  in  their  hands  as  they  went 
about  the  store.   Each  boy  was  found  delinquent  and  each  was 
placed  on  supervised  probation. 

Date  of  Trial:  1973  (approx.) 

Court  &  Judge:  Judge  John  S.  Langford  or  Judge  Tom  Dillon 

Co-Counsel:  Sole  Counsel 

Defense  Counsel:  Unknown 


246 


ATTORNEYS  WHO  APPEARED  BEFORE  ME  DURING  MY  TENURE  ON  THE  FULTON 
SUPERIOR  COURT  BENCH:  fui^iuN 

Hunter  S.  Allen,  Jr. 
Allen  &  Peters 
1360  Peachtree  St.,  N.E. 
Suite  1700 

Atlanta,  Georgia   30309-3200 
(404)  874-1700 

Attorney  Marvin  S.  Arrington 

Arrington  &  Hollowell 

191  Peachtree  St.,  N.E. 

Suite  3550 

Atlanta,  Georgia   30303 

(404)  658-9900 

Attorney  James  E.  Butler,  Jr. 
Butler,  Wooten,  Overby  &  Cheeley 
P.  O.  Box  2766 
Columbus,  Georgia   30902 
(706)  322-1990 

Attorney  Robert  Goldstucker 

Nail,  Miller,  Owens  Hocutt  &  Howard 

Suite  200 

66  Luckie  St. ,  N.  W. 

Atlanta,  Georgia   30303 

(404)  522-0707 

Attorney  G.  Conley  Ingram 

Alston  &  Bird 

One  Atlantic  Ctr. 

1201  W.  Peachtree  St.,  N.E. 

Atlanta,  Georgia   30309 

(404)  881-7000 

Attorney  Paul  Kilpatrick,  Jr. 

Pope,  McGlamry,  Kilpatrick  &  Morrison 

720  Broadway 

Columbus,  Georgia   31901 

(706)  324-0050 

Attorney  Charles  T.  Lester,  Jr. 

Sutherland,  Asbill  &  Brennon 

999  Peachtree  St.,  N.E. 

Suite  2300 

Atlanta,  Georgia   30309 

(404)  853-8000 

Attorney  Jack  Mallard 
30  Waddell  St. 
Marietta,  Georgia   30061 
(404)  528-3087 


247 


Attorney  Charles  Neal  Pope 

Pope,  McGlamry,  Kilpatrick  &  Morrison 

72  0  Broadway 

Columbus,  Georgia   31901 

(706)  324-0050 

Attorney  Daniel  S.  Reinhardt 

Troutman  Sanders 

600  Peachtree  St.,  N.  E. 

Suite  5200 

Atlanta,  Georgia   30308 

(404)  885-3206 


Attorney  Richard  Sinkfield 

Rogers  &  Hardin 

229  Peachtree  St.,  N.E. 

2700  Cain  Tower 

Atlanta,  Georgia   30303-1637 

(404)  522-4700 

Attorney  Bernard  Taylor 
Alston  &  Bird 
One  Atlantic  Ctr. 
1201  W.  Peachtree  St. 
Atlanta,  Georgia   30309 
(404)  881-7288 
(404)  572-4600 


248 


ATTACHMENT    4 

nNANC3AJL  STATEMEhrr 
KET  WORTH 


Provide  i  complete,  current  flnindal  net  worth  lutemeni  which  iterrvKi  In  dct 
alJ  t5$f  IS  (Including  b»nk  Jccounu.  rtil  tjuie,  jecuritiej,  tnjslj,  invcstmenu.  and  other  fmiftc. 
holdings)  all  UabUitics  (bdudlng  debts.  tT\ortg»gcj.  loans,  and  other  rmincul  obUgationi) 
yo\in<\!,  yout  spouse,  and  other  Invnediat*  mcmberj  of  your  household. 


ASSETS 

UMUSULS 

~r 

Cuh  on  lu\i  ifi^  ifl  bw\lu 

>s.n?d 

33 

tioUA  p«y»b;c  to  Unla-i*c»i;»d 

16,439 

5C 

U.S.  Covtrmscnt  taainin-tii 
»che<3ul«  US  SAVINGS  E  BOIDS 

150 

00 

Nolu  ptjrtblt  to  b4nla-UAi(cu.*»d 

00 

Linrd  K«uncic4--»(U  KhnJult 

73^853 

30 

NffUi  pt/tVU  to  rtlio've* 

00 

VniltU^  KCiffit!c»"KU  Kiedjl* 

00 

Noui  piytbtc  to  eihcn 

m 

Atxou/iU  tni  noi*«  rt«'>viWe; 

AMOunii  i/>4  btUi  du« 

4.980 

ffS 

D\»«  from  iilitirti  ifld  fritftdi 

00 

Unpild  Itcomt  UX 

00 

Due  from  oOiui 

00. 

Ol>>c/  onptjd  Ux  trti  intm <t 

CD' 

Doubtftil 

00 

Rtil  (itiU  mart{i(M  piyt^Ic-idd 

K>l»dlll* 

56,319 

88 

F.e»l  mUU  ovntd.-»<]d  iche/Jj'.e 

122,600 

00 

Chuie]  p>or(tt|e<  ind  other  b'tni  piy- 

R^  tiuie  mort|«|ei  roctivitlt 

00 

Other  dcbU-iKnuM: 

Autot  »J^d  other  penoo«I  profoiy 

38.450 

00 

tetropolitan  Life-Loan 

^97 

30 

Cuh  viJue-L/«  iniu:t;<c« 

6^854 

86 

Howard  Barron,   C.P.A. 

465 

00 

h ■■ 

OOier  Uitls-i'^ralit; 

Georqia  Alliance, far 
Oiildrfin    tpiedq^ 

600 

OC 

Deferred  CcsiiDensation 

89,499 

47 

Professional  and  Other 
Dues 

625 

C( 

Tax  Shelter  Annuity 

69,062 

48 

1    IRA(s) 

10,  974 

17 

T0t4j  tilbHiliM 

32, 527  5' 

Net  Worfli 

153,  941. : 

Tout  AistU 

436,468  67 

Tot*l  b'tbOidu  tM  net  *^tlS                 ^ 

36, 468. ( 

B               CO.vmNCENT  UABIUTIES 

CENXIUL  INF0R.MATION 

A5  eodoricT,  tcmtku  or  {uuioior 

00 

Are  kny  aiM'j  tUtaitit  (Add  icKed- 

Od  Uuei  or  contrwlf 

00 

A/t  you  dcfcedvit  ir.  u.y  tuiu  o(  l(|tj 
itdorwt      No 

Vtfi  Otlrn* 

00 

H«vt  you  ever  uUoV)»nbvp<e>7     No 

Provlilon  for  FedcnJ  Incomi  Tm 

00 

0»>xf  tpteUl  debt 

00 

249 


INVESTMENTS 

U.S.  Savings  Bonds  (Series  E)        $150.00 

Government  Securities 


I.  Campaign  Account 

Bonds  $10,428 

Mutual  Funds    21,340        Listed  Securities 

II.  IRA  Accounts:       9,205 

2,769  (spouse) 

III.    Personal  Investments         Listed  Securities 

Stock : 

Coca  Cola  -  300  shares  6  42.50/share 
CEMAX  -  100  shares  §  41. 00/ share 
Home  Depot  -  300  shares  §  36.25/share 
Toys  R  Us  -  300  shares  §  35.25/share 
First  Southern  Bank  -  100  shares  @   5.00/share 

IV.    Money  Market   $800         Listed  Securities 

V.  Bank  Accounts 

Wachovia 

Investment     $    133.59 

Checking:  672.08 

Citizens  Trust  Bank 

Time  Deposit   $  7,779.08 

Fulton  County  School  System  Credit  Union  (spouse) 
Checking:      $13,539 
Savings:  198 

VI.  Value  of  Real  Estate 

(Personal  Residence):   $122,600.00 

VII.  Deferred  Compensation /Tax  Shelter 

Fulton  County  Deferred  Compensation  Plan  $56,488.88 
State  of  Georgia  Deferred  Compensation  Plan  $33,010.59 
Tax  Shelter  Annuity  (Travelers)  $69,062.49 

VIII.  Value  of  Vehicles 

1988    Mazda         $6,900 
1991    Ford  Explorer  13,550 


250 


IX.   Insurance  (Cash  Value) 


Allmerica  Financial      $3,287.60 
Metropolitan  Life         3,567.26 
(Loan  Amt.  $2,897.31) 

X.   Value  of  Personal  Property 

Mink  Coat  $10,000 

Jewelry  3,000 

Computer  &  Printer         3,000 
Cameras  &  video  Equipment  2 , 000 


LIABILITIES 
Loans 

A.  Metropolitan  Insurance   $2,987.31 

B.  Mortgage  balance  First  Union  Bank 

56,319.88 
(9/22/93) 

C.  First  Union  Bank  Equity  Account 

16,439.50 


251 


UNITED  STATES  SENATE 

COMMITTEE  ON  THE  JUDICIARY 

QUESTIONNAIRE  FOR  JUDICIAL  NOMINEES 

I.    BIOGRAPHICAL  INFORMATION  PUBLIC) 

1.  Full  name  (include  any  former  names  used). 
Frank  Mays  Hull 

2.  Address:   List  current  place  of  residence  and  onice  address(es). 

Residence:  3452  Woodhaven  Road,  NW 

Atlanta,  Georgia  30305 

Office:  Judge  Frank  M   Hull 

Superior  Coun  of  Fulton  County 
Atlanta  Judicial  Circuit 
T4705  Fulton  County  Judicial  Center 
185  Central  Avenue,  SW 
Atlanta,  Georgia  30305 

3.  Date  and  place  of  birth. 

December  9,  1948  -  Augusta.  Richmond  County,  Georgia. 

4.  Marital  Status  (include  maiden  name  of  wife,  or  husband's  name).    List  spouse's 
occupation,  employer's  name  and  business  address(es). 


Date  of  marriage: 
Spouse: 
Occupation: 
Employer: 


April  16,  1977 

Mr.  Antonin  Aeck  ("Tony") 

Architect 

Lord,  Aeck  &  Sargent.  Inc.,  an  architectural  firm 

400  Colony  Square,  Suite  300 

1201  Peachtree  Street,  NE 

Atlanta,  Georgia  30361-6303 


252 


Education:  List  each  college  and  law  school  you  have  attended,  including  dates  of 
attendance,  degrees  received,  and  dates  degrees  were  granted. 

1973.  J.D.,  cum  laude,  Emory  University  School  of  Law,  Atlanta,  Georgia;  attended 
1970-1973 


6. 


1970,  B.A.,  Randolph-Macon  Woman's  College,  Lynchburg,  Virginia;  attended  1966- 
1968  for  freshman  and  sophomore  years,  and  1969-1970  for  senior  year. 

University  of  Reading,  Reading,  England;  attended  September  1968-July  1969  as  part  of 
Junior  Year  Abroad  Program  of  Randolph-Macon  Woman's  College. 

Employment  Record:  List  (by  year)  all  business  or  professional  corporations, 
companies,  firms,  or  other  enterprises,  partnerships,  institutions  and  organizations, 
nonprofit  or  otherwise,  including  firms,  with  which  you  were  connected  as  an 
ofHcer,  director,  partner,  proprietor,  or  employee  since  graduation  from  college. 


August  1990-Present: 


Judge,  Superior  Court  of  Fulton  County 
Atlanta  Judicial  Circuit 
Atlanta,  Georgia 


November  1984- 
August  1990: 

1974-1984: 


Judge,  State  Court  of  Fulton  County 
Atlanta,  Georgia 

From  1974-1980  I  was  an  associate;  in  1980 
I  became  the  first  female  partner  in  a  law 
firm  of  150  anomeys. 
Powell.  Goldstein,  Frazer  &  Murphy 
Atlanta,  Georgia 


1973-1974: 


Sununer  1972: 


Summer  1971: 


Law  Cleric 

Judge  Elbert  P.  Tuttle 

United  States  Court  of  Appeals 

for  the  Fifth  Circuit 
Atlanta,  Georgia 

Summer  Associate  after  second  year  of  law  school  with 
firm  of  Powell,  Goldstein,  Frazer  &  Murphy 
Atlanta,  Georgia 

Summer  Associate  after  first  year  of  law  school  with  firm 
of  Bumside,  Dye  &  Miller 
Augusta,  Georgia 


-2- 


253 


Military  Service:  Have  you  had  any  military  service?  If  so,  give  particulars, 
including  the  dates,  branch  of  service,  rank  or  rate,  serial  number  and  type  of 
discharge  received. 

No. 

Honors  and  Awards:  List  any  scholarships,  fellowships,  honorary  degrees,  and 
honorary  society  memberships  that  you  believe  would  be  of  interest  to  the 
Committee. 

Emory  School  of  Law 

1973:  J.D.  cum  laude  Emory  University  School  of  Law 

1973:  Order  of  the  Coif  (academic  honor  society) 

1973:  Wall  Street  Journal  Award  (to  one  senior  for  overall  achievement) 

1973:  Who's  Who  in  American  Colleges  and  Universities 

1973:  National  Fellow,  American  Association  of  University  Women 

1972-1973:      Notes/Comments   Editor,   Journal   of  Public   law   (now   Emory   Law 

Review) 
1971:  M.  P.  Laughlin  Writing  Award  (to  one  freshman) 

Bar  Associations:  List  all  bar  associations,  legal  or  judicial-related  committees  or 
conferences  of  which  you  are  or  have  been  a  member  and  give  the  titles  and  dates 
of  any  offices  which  you  have  held  in  such  groups. 

1.  1992-Present:     State  of  Georgia  Commission  on  Family  Violence,  Atlanta, 
Georgia  (appointed  by  Governor  Zcll  Miller) 

a)  1992-Present:  Chair,  Subcommittee  to  esublish  Family  Violence  Task 
Forces  in  Georgia's  45  judicial  circuits 

2.  1973-Present:    Member,  Sute  Bar  of  Georgia.  Atlanu,  Georgia 

a)  1991-Present:  Member.  Sute  Bar  of  Georgia  Bench  &  Bar  Committee  (to 
improve  interaction  between  Bench  and  Bar) 

b)  1990-Present:  Member.  Sute  Bar  of  Georgia  Correctional  Facilities  and 
Services  Conunittee  (promotes/oversees  "BASICS"  program  offering 
employment  workshops  for  inmates  prior  to  release) 

c)  1988-1991:  Member.  Sute  Bar  of  Georgia  Conunittee  on  Women  and 
Minorities  in  the  Profession 

d)  1 99 1  - 1 993 :  Executive  Committee ,  Georgia  Sute-Federal  Judicial  Council, 
Atlanu,  Georgia 

3.  1990-Present:    Member,  Council  of  Superior  Court  Judges,  Sute  of  Georgia, 
Atlanu,  Georgia 

a)  1990-1993:   Chair.  Gender/Racial/Ethnic  Fairness  Committee 

b)  1991-1993:   Member,  Uniform  Rules  Committee 


254 


4.  1984-1990:  Member,  Council  of  State  Coun  Judges,  State  of  Georgia,  Atlanta, 
Georgia 

a)  1987-1990:    Member,  Uniform  Rules  Comminee 

b)  1987-1990:    Member,  Program  Committee 

5.  1974-Present:    Member,  American  Bar  Association,  Chicago,  Illinois 

a)  1978-1985:  Vice-Chairman,  ABA's  Fidelity  and  Surety  Law  Committee 
(fidelity/surety  bonds  for  contractors/financial  institutions) 

b)  1979-1982:  Financial  Secretary  and  Long  Range  Planning  Committee, 
ABA's  Tort  and  Insurance  Practice  Section 

c)  1981-1985:  Editorial  Staff,  The  Construction  Lawyer,  published  by 
ABA's  Forum  Committee  on  Construction  Industry 

d)  1983-1985:  Chairman,  Contract  Documents  Division,  ABA's  Forum 
Comminee  on  Construction  Industry 

6.  1992-Present:    Fellow,  American  Bar  Foundation,  Chicago,  Illinois 

7.  1974-Present:    Member,  Atlanta  Bar  Association,  Atlanta,  Georgia 

a)  1977-1979:    Board  of  Directors,  Atlanta  Council  of  Younger  Lawyers 

b)  1977-1979:  Chairman,  ACYL  Northern  District  of  Georgia  Casenotes 
Committee  (prepared  summary  of  unreported  decisions  in  United  States 
District  Coun  for  Northern  District  of  Georgia) 

8.  1984-Present:  Member,  Gate  City  Bar  Association,  South  Fulton  Bar 
Association.  North  Fulton  Bar  Association,  and  Georgia  Association  of  Black 
Women  Attorneys,  Atlanta,  Georgia 

9.  1985-Presem:  Member,  National  Center  for  Sute  Courts,  Williamsburg,  Virginia 

10.  1985-Present:    Member,  American  Judicature  Society,  Chicago,  Illinois 
a)  1990- Present:    National  Board  of  Directors 

11.  1988-Present:  Member,  National  Association  of  Women  Judges,  Washington, 
DC. 

12.  1975-Present:  Member,  Georgia  Association  of  Women  Lawyers,  Atlanta, 
Georgia 

13.  1988-1991:  Member,  Sute  of  Georgia  Commission  on  Gender  Bias  in  Judicial 
System,  Atlanta.  Georgia  (appointed  by  Chief  Justice  of  Georgia  Supreme  Court) 
a)  1988-1991:    Chair,  Domestic  Violence  Subcommittee 

14.  1988-1991 :  Board  of  Directors,  Atlanu  Volunteer  Lawyers  Foundation,  Atlanta, 
Georgia  (recruits  pro  bono  attorneys  and  provides  pro  bono  representation  to  low 
income  clients;  funded  by  court  filing  fee) 

15.  1984-Present:    Member.  Lawyers  Club  of  Atlanta,  Atlanta.  Georgia 


255 


16.  1991-Present:    Member,  Bleckley  American  Inn  of  Coun,  Atlanta,  Georgia 
a)         1992-Present:    Executive  Comminee 

17.  1991:  Visiting  Judge.  Georgia  Supreme  Court,  for  one  case  where  sitting 
Justice  had  to  recuse.  See  York  Rite  Bodies  of  Freemasonry  of  Savannah- 
Georgia,  et  al.  V  Board  of  Equalization  of  Chatham  County.  261  Ga.  558,  408 
S.E.2d  699  (1991). 

10.  Other  Memberships:  List  all  organizations  to  which  you  belong  that  are  active  in 
lobbying  before  public  bodies.  Please  list  all  other  organizations  to  which  you 
belong. 

I  do  not  belong  to  any  organizations  that  are  active  in  lobbying  before  public  bodies. 

All  other  organizations  to  which  I  belong  are: 

1986-Present      Member,  Leadership  Atlanta.  Inc.,  Atlanta.  Georgia 

1992-1993   Selection  Committee  for  Applicants  for  1993-1994  Class 
1988-1989   Co-Chair  for  Criminal  Justice  Program  Committee 
1986-1987   Class  of  Leadership  Atlanu 

1976-1979       Board  of  Directors.  Metro  Atlanta  Mediation  Center,  Inc.  (operates  The 
Bridge,  a  non-profit  family  counseling  center) 

1979-Present   Member,  Cathedral  of  St.  Philip.  Atlanta,  Georgia 
1983-1991    Sunday  School  teacher 
1990-1992   Outreach  Committee  (awards  grants) 
1988-1991    Sunday  School  teacher  in  outreach  program  at  Emmaus 

House.  Capitol  Avenue,  Atlanta,  Georgia 
1985-1989   Assistant  Den  Leader,  Den  5,  Troop  74,  Boy  Scouts 

of  America  troop  at  the  Cathedral 

Present  member:  Atlanta  Women's  Network,  Speech  School  Guild.  Atlanta  Bounical 
Garden,  High  Museum  of  Art,  Randolph-Macon  Woman's  College  Alumni  Association- 
Atlanta  Chapter.  (I  do  not  recall  the  exact  dates  I  joined  each  organization  but  have  been 
a  member  for  over  five  years.) 

11.  Court  Admission:  List  all  courts  in  which  you  have  been  admitted  to  practice,  with 
dates  of  admission  and  lapses  if  any  such  memberships  lapsed.  Please  explain  the 
reason  for  any  lapse  of  memberships.  Give  the  same  information  for  administrative 
bodies  which  require  special  admission  to  practice. 

1973  United  States  Court  of  Appeals  for  the  Fifth  Circuit 

1974  United  Sutes  District  Court  for  Northern  District  of  Georgia,  Georgia  Supreme 
Court.  Georgia  Coun  of  Appeals,  and  Superior  Court  of  Fulton  County 

1977     United  States  Supreme  Court 

1982     United  States  Coun  of  Appeals  for  the  Eleventh  Circuit 


-5- 


256 


12.  Published  Writings:  List  the  titles,  publishers,  and  dates  of  books,  articles,  reports, 
or  other  published  material  you  have  written  or  edited.  Please  supply  one  copy  of 
all  published  material  not  readily  available  to  the  Committee.  Also,  please  supply 
a  copy  of  all  speeches  by  you  on  issues  involving  constitutional  law  or  legal  policy. 
If  there  were  press  reports  about  the  speech,  and  they  are  readily  available  to  you, 
please  supply  them. 

"Pyramid  Marketing  Plans  and  Consumer  Protection:  State  and  Federal  Regulations", 
21  Journal  of  Public  Law  445  (1972)  (now  Emory  Law  Review) 

"Civil  Procedure-Application  of  Long-Arm  Statute  to  Foreign  Corporation",  8  Georgia 
State  Bar  Journal  414  (1972) 

"Bankruptcy  of  Principal:  Reclamation  and  Other  Common  Problems  Facing  the 
Principal  and  Its  Surety",  12  Forum  200  (1976)  (Topic  of  paper  for  TIPS  at  ABA's  1976 
Annual  Meeting  in  Atlanta;  The  Forum  is  a  legal  periodical  published  by  the  ABA's  Tort 
and  Insurance  Practice  Section  -  "TIPS") 

"Surety's  Liability  for  Attorneys'  Fees  and  Coun  Costs  Under  Fidelity  Bonds",  14 
Forum  634  (1979)  (Topic  of  paper  and  speech  for  TIPS  at  ABA's  1978  Annual  Meeting 
in  New  York) 

"The  ABC's  of  Unidentifiable  Employee  Coverage",  15  Forum  948  (1980)  (Topic  of 
paper  and  speech  for  TIPS  at  ABA's  Mid-Winter  Meeting  in  New  York) 

13.  Health:   What  is  the  present  state  of  your  health? 
Excellent. 

List  the  date  of  your  last  physical  examination. 

May  18,  1993. 

14.  Judicial  Office:  State  (chronologically)  any  judicial  unices  you  have  held,  whether 
such  position  was  elected  or  appointed,  and  a  description  of  the  jurisdiction  of  each 
such  court. 

Current  judicial  office:    August  1990-Present 
Judge,  Superior  Court  of  Fulton  County 
Atlanu  Judicial  Circuit 
Atlanu.  Georgia 

Governor  Joe  Frank  Harris  appointed  me  to  this  Court  in  1990.  I  was  re-elected  in 
November,  1992  for  a  four-year  term  (1993-1997).  This  is  a  general  jurisdiction  State 
trial  court  with  jurisdiction  over  felony  criminal  cases,  all  civil  cases  both  at  law  and  in 
equity,  and  all  divorce  cases.    There  is  no  limitation  on  the  jurisdiction. 


257 


Preyjous  judicial  office:   November  1984-August  1990: 
Judge,  State  Coun  of  Fulton  County 
Atlanta,  Georgia 

Governor  Joe  Frank  Harris  appointed  me  to  this  Court  in  1984  I  was  re-elected  in  1986 
and  again  in  1990.  This  is  a  limited  jurisdiction  trial  court  with  jurisdiction  over 
misdemeanor  criminal  cases  and  all  civil  cases  except  divorces,  claims  in  equity,  and 
cases  involving  title  to  real  property. 

In  summary,  1  have  been  re-elected  as  a  State  trial  judge  three  times  (in  1986,  1990,  and 
1992),  and  have  never  been  an  unsuccessful  candidate  in  a  judicial  election. 

For  nine  years  as  a  trial  judge  on  two  trial  courts,  I  have  handled  (a)  over  2,500  felony 
criminal  cases  on  Superior  Court  and  over  5,000  misdemeanor  criminal  cases  on  State 
Court,  and  (b)  over  3,000  civil  cases  in  Superior  and  Slate  Courts.  I  have  presided  over 
at  least  200  jurj'  trials.  300  bench  trials,  and  thousands  of  criminal  pleas  and  non-jury 
motions  in  civil  and  criminal  cases. 

15.  Citations:   If  you  are  or  have  been  a  judge,  provide: 

(1)  citations  for  the  ten  most  significant  opinions  you  have  written;  (2)  a  short 
summary  of  and  citations  for  all  appellate  opinions  where  your  decisions  wen 
reversed  or  where  your  judgment  was  affirmed  with  significant  criticism  of  your 
substantive  or  procedural  rulings;  and  (3)  citations  for  significant  opinions  on  federal 
or  state  constitutional  issues,  together  with  the  citation  to  appellate  court  on  such 
opinions;  If  any  of  the  opinions  listed  were  not  officially  reported,  please  provide 
copies  of  the  opinions. 

(1)  Copies  and  citations  of  ten  significant  opinions  are  attached  as  Exhibit  2. 

(2)  To  the  best  of  my  knowledge,  no  appellate  opinions  have  affirmed  my  decisions 
with  significant  criticism.  A  summary  of  appellate  opinions  where  my  decisions 
were  reversed  is  attached  in  Exhibit  3. 

(3)  Ciutions  for  significant  opinions  on  federal  or  state  constitutional  issues  are 
included  and  identified  in  Exhibit  2. 

16.  Public  Office:  State  (chronologically)  any  public  offices  you  have  held,  other  than 
judicial  ofTices,  including  the  terms  of  service  and  whether  such  positions  were 
elected  or  appointed.  State  (chronologically)  any  unsuccessful  candidacies  for 
elective  public  office. 

I  have  not  held  any  elected  public  office  other  than  the  judicial  offices  outlined  in 
question  14  above.    1  have  been  appointed  to  several  State  Commissions: 

1992-Present:      State  of  Georgia  Commission  on  Family  Violence,  Atlanta, 
Georgia  (appointed  by  Governor  Zeli  Miller) 

a)  1992-Present:    Chair,  Subcomminee  to  establish  Family  Violence  Task 

.  .         Forces  in  Georgia's  45  judicial  circuits 

-7- 


258 


1988-1991:  Member,  State  of  Georgia  Commission  on  Gender  Bias  in  Judicial 
System,  Atlanta,  Georgia  (appointed  by  Chief  Justice  of  Georgia  Supreme  Court) 
a)         1988-1991:   Chair,  Domestic  Violence  Subcommittee 

17.       Leyal  Career: 

a.         Describe  chronologically  your  law  practice  and  experience  after  graduation 
from  law  school  including: 

1.  whether  you  served  as  clerk  to  a  judge,  and  if  so,  the  name  of  the 
judge,  the  court,  and  the  dates  of  the  period  you  were  a  clerk; 

1973-1974       Law  Cleric 

Judge  Elbert  P.  Tuttle 

United  States  Court  of  Appeals  for  the  Fifth  Circuit 

Atlanta,  Georgia  30303 

2.  whether  you  practiced  alone,  and  if  so,  the  addresses  and  dates; 
I  have  not  practiced  alone. 

3.  the  dates,  names  and  addresses  of  law  firms  or  offices,  companies  or 
governmental  agencies  with  which  you  have  been  connected,  and  the 
nature  of  your  connection  with  each; 

1974-1984       From  1974-1980  I  was  an  associate;  in  1980  I  became  the 
first  female  panner  in  a  law  firm  of  ISO  attorneys. 
Powell,  Goldstein,  Frazer  &  Murphy 
Sixteenth  Floor 
191  Peachtree  Street,  NE 
Atlanta.  Georgia  30303 
(404)  572-6600 

Sununer  1972  Summer  Associate  after  second  year  of  law  school 
Powell,  Goldstein,  Frazer  &  Murphy 
Sixteenth  Floor 
191  Peachtree  Street,  NE 
Atlanta,  Georgia  30303 
(404)  572-6600 

Summer  1971  Sununer  Associate  after  first  year  of  law  school 
Bumside,  Dye  &  Miller 
Augusta,  Georgia 
(This  law  firm  no  longer  exists.) 


259 


b.         1.         What  has  been  the  general  character  of  your  law  practice,  dividing  it 
into  period  with  dates  if  its  character  has  changed  over  the  years? 

In  my  prior  law  practice  for  10  years  with  Powell.  Goldstein.  Frazer  & 
Murphy.  I  had  a  general  trial  practice  and  worked  on  over  200  cases  in 
federal  and  state  courts,  which  involved  a  broad  range  of  areas  such  as- 
contracts,  banking,  loans,  civil  rights,  all  areas  of  the  UCC,  construction 
law,  federal  copyright  infringement,  insurance,  real  estate,  suret>  and 
guaranty  relationships,  employee  dishonesty,  creditors'  rights,  employment 
and  age  discrimination,  materialmen's  liens,  subrogation,  fidelity  bonds, 
performance  and  payment  bonds,  professional  malpractice,  receiverships, 
personal  injury,  divorce,  contracts,  torts,  equity,  executor/administrator 
bonds,  and  fiduciary  relationships. 

2.         Describe  your  typical  former  clients,  and  mention  the  areas,  if  any,  in 
which  you  have  specialized. 

I  specialized  in  civil  litigation  and  represented  a  broad  spectrum  of  clients 
in  a  wide  range  of  cases.    Here  are  a  few  examples: 

1)  In  both  state  and  federal  courts,  I  represented  numerous 
businesses,  banks,  commercial  lenders,  and  bank  customers  in 
cases  involving  real  esute  transactions,  the  Uniform  Commercial 
Code,  loans,  and/or  other  banking  transactiqas. 

2)  A  federally  insured  state  bank  in  Georgia  failed  in  1976.  I 
represented  the  Federal  Deposit  Insurance  Corporation  in  at  least 
24  lawsuits  in  federal  and  sute  courts  regarding  die  receivership 
and  the  assets/liabilities  of  that  insolvent  state  bank. 

3)  With  funding  from  the  National  Education  Association,  I 
represented  in  federal  courts  (a)  plaintiff  teachers  in  actions  against 
local  school  boards  for  racial  discrimination  in  faculty  employment 
and  (b)  a  plaintiff  teacher  in  an  action  against  a  local  school  board 
for  age  discrimination  in  faculty  employment. 

4)  A  significant  pan  of  my  law  practice  involved  construction 
contract  litigation  and  arbitration.  I  represented  owners, 
contractors,  subcontractors,  and  suret>'  companies  in  numerous 
construction  contract  claims,  litigation,  and  arbitration,  especially 
involving  performance  and  payment  bonds. 

5)  In  federal  court.  I  handled  at  least  a  dozen  copyright  infringement 
cases  for  Broadcast  Music,  Inc.  as  a  plaintiff. 


-9- 


260 


6)  Insurance  companies  issue  fidelity  bonds  to  banks  and  businesses 
insuring  for  losses  caused  by  employee  dishonesty.  I  represented 
numerous  insured  businesses  and  insurance  companies  in 
prosecuting  and  defeixling  commercial  fidelity  bond  cases. 

c.  1.  Did  you  appear  in  court  frequently,  occasionally,  or  not  at  all?  If  the 
frequency  of  your  appearances  in  court  varied,  describe  each  such 
variance,  giving  dates. 

I  appeared  in  court  frequently. 

2.  What  percentage  of  these  appearances  was  in: 

(a)  federal  courts:   50%  in  law  practice 

(b)  state  courts  of  record:    50%  in  law  practice 

(c)  other  courts:    not  applicable 

3.  What  percentage  of  your  litigation  was: 

(a)  civil:    100%  in  law  practice 

(b)  criminal:  1  handled  several  pro  bono  criminal  cases  in  law 
practice. 

4.  State  the  number  of  cases  in  courts  of  record  you  tried  to  verdict  or 
judgment  (rather  than  settled),  indicating  whether  you  were  sole 
counsel,  chief  counsel,  or  associate  counsel. 

Approximately  fifteen.  In  the  first  three  years  of  law  practice,  1  was 
generally  associate  counsel  under  the  supervision  of  a  partner.  In  the  last 
seven  years  of  law  practice,  I  generally  was  lead  counsel  on  the  cases  I 
handled. 

5.  What  percentage  of  these  trials  was: 

(a)  jury:    15% 

(b)  non-jury:    85% 

18.  Litigation:  Describe  the  ten  most  significant  litigated  matters  which  you  personally 
handled.  Give  the  citations,  if  the  cases  were  reported,  and  the  docket  number  and 
date  if  unreported.  Give  a  capsule  summary  of  the  substance  of  each  case.  Identify 
the  party  or  parties  whom  you  represented;  describe  in  detail  the  nature  of  your 
participation  in  the  litigation  and  the  final  disposition  of  the  case.  Also  state  as  to 
each  case: 

(a)  the  date  of  representation; 

(b)  the  name  of  the  court  and  the  name  of  the  judge  or  judges  before  whom  the 
case  was  litigated;  and 

(c)  the  individual  name,  addresses,  and  telephone  numbers  of  co-counsel  and  of 
principal  counsel  for  each  of  the  other  parties. 


-10- 


261 


The  following  is  a  summary  of  ten  significant  cases  which  I  personally  handled  whOe 
with  Powell,  Goldstein,  Frazer  &  Murphy. 

While  other  attorneys  at  this  firm  may  be  listed  in  the  pleadings,  I  was  the  attorney  whh 
primary  responsibility  for  the  work  in  these  cases.  I  personally  handled  all  ooun 
appearances  in  all  of  the  cases  listed  below,  whether  at  trial,  at  oral  argument,  on  appeal, 
or  at  any  court  hearings  on  motions.  I  also  personally  drafted  the  pleadings  and  briefe 
filed  in  these  cases  and  personally  conducted  the  discovery  in  these  cases. 


1. 


Fred  E.  Rizk.  et  al.  v.  James  H.  Jones,  and  others  as  trustees  of  Firet 
Commerce  Realty  Investors.  148  Ga.  App.  473,  251  S.E.2d  360  (1978),  afTd. 
243  Ga.  545,  255  S.E.2d  19  (1979) 

Plaintiff  borrowers  sued  my  lender  client,  First  Commerce  Realty  Invesnrs 
("FCRI").  a  Louisiana  REIT,  for  $2  million  in  damages  for  breach  <rf  a 
development  loan  for  300  acres  in  Gwinnett  County,  Georgia.  My  client  FCRI 
counterclaimed  for  over  $3  million  in  already  past  due  debt  under  the  i»m«i 
acquisition  loan. 

The  trial  court  granted  summary  judgment  to  my  client  FCRI  on  its  counterclasms 
against  the  plaintiff  borrowers,  which  was  affirmed  on  direct  appeal.  After  the 
appeal,  the  main  Complaint  by  the  plaintiff  was  still  left  to  be  tried.  The  case 
was  senled  for  an  immediate  payment  of  $2.5  million  from  the  plaintiff  bornnven 
to  my  client  FCRI. 


Trial  Court: 

Judge  Reid  Merritt* 

Superior  Court  of  Gwinnen  County 

Lawrenceville,  Georgia 

♦Judge  Merrin  is  now  in  private 

practice: 

PO  Box  686 

368  South  Perry  Street 

Lawrenceville,  (jeorgia  30245 

(404)  %3-9933 

Counsel  for  opposing  parties: 

Counsel  for  plaintiffs  in  trial  court: 

Mr.  Robert  W.  Beynart 

Mr.  David  K.  Whatley 

Smith,  Cohen,  Ringel,  Kohier  &  Manin* 

Atlanta,  Georgia 


Appellate  Court: 

The  Honorable  Julian  Webb*» 
Georgia  Coun  of  Appeals 
Atlanta,  Georgia 

**Judge  Webb  is  now  in  private 

practice: 

118  West  Second  Street 

P.O.  Box  277 

Donalsonville,  Georgia  31745-0277 

(912)  524-2456 


-11- 


262 


*Both  attorneys  are  now  with  different  law  firms: 


Mr.  Robert  W.  Beynart 
Smith,  Gambrell  &  Russell 
Suite  3100  Promenade  II 
1230  Peachtree  Street.  N.E. 
Atlanta,  Georgia  30309-3592 
(404)  815-3500 

Counsel  for  plaintiffs'  appeal: 

Mr.  A.  Felton  Jenkins,  Jr. 

King  &  Spalding 

42nd  Floor 

191  Peachtree  Street,  N.E. 

Atlanta,  Georgia  30303-1740 

(404)  572-4600 


Mr.  David  K.  Whatley 
Fortson  &  White 
3(X)  Atlanta  Financial  Center 
3333  Peachtree  Road,  N.E. 
Atlanta,  Georgia  30326-1042 
(404)  239-1900 


2.         Receivership  action  of  In  re  Hamilton  Bank  and  Trust  Company.  Civil  Action 
No.  C-24035  (Fulton  Superior  Ct.,  1976-79). 

The  Department  of  Banking  and  Finance  of  the  State  of  Georgia  took  possession 
of  the  insolvent  state  bank  and  petitioned  the  court  to  appoint  the  FDIC  as 
receiver.  1  represented  the  FDIC  as  receiver.  When  FDIC  is  appointed  receiver 
of  a  bank,  it  has  two  options:  (1)  to  sell  the  assets/liabilities  of  the  failed  bank 
to  an  ongoing  bank  or  (2)  to  proceed  with  a  straight  liquidation.  This  closed  sute 
bank's  liabilities  (i c,  customer  deposits)  far  exceeded  its  assets  (i.e.,  loan 
portfolio). 

The  FDIC  as  receiver  (1)  sold  for  over  $22  million  in  cash  the  loans  in  default 
to  FDIC  in  its  corporate  capacity  as  insurer  and  (2)  sold  for  over  $33  million  to 
the  National  Bank  of  Georgia  the  liabilities  (i.e.,  customer  deposits)  with  an 
offsetting  amount  of  good  assets  (i.e.,  good  loans  plus  the  $22  million  cash  from 
FDIC  in  its  corporate  capacity  as  insurer).  This  allowed  the  ongoing  bank  to  take 
over  the  customer  deposits  without  any  interruption  in  service  and  with  customers 
receiving  100%  of  their  deposits.  The  FDIC  in  its  corporate  capacity  as  insurer 
then  proceeded  to  collect  the  loans  in  default  in  an  attempt  to  recoup  its  cash 
payment  of  over  $22  million  made  to  faciliute  the  sale  of  liabilities  to  the 
ongoing  bank. 

I  also  represented  the  FDIC  as  receiver  in  the  receiver's  ongoing  reports  to  the 
trial  court  on  the  sutus  and  resolution  of  the  receivership. 


Court: 

Judge  John  S    Langford 
Superior  Court  of  Fulton  County 
Atlanta  Judicial  Circuit 
185  Central  Avenue.  S.W. 
Atlanta,  Georgia  30303 
(404)  730-4305 


Counsel  for  opposing  party: 

The  insolvent  stale  bank  did  not 
employ  counsel  to  oppose  the 
receivership.    Since  all  depositors 
received  100%  of  their  deposits,  they 
did  not  oppose  the  actions  of  the 
FDIC  as  receiver. 


-12- 


263 


I  also  represented  the  FDIC  in  its  corporate  capacity  as  insurer  in  at  least  24 
lawsuits  in  state  and  federal  courts  to  collect  the  various  delinquent  loans 
purchased  from  FDIC  as  receiver  of  the  state  bank.  For  example,  see  FDIC  v. 
Jones.  161  Ga.  App.  867,  291  S.E.2d  70  (1982);  FDIC  v.  West.  149  Ga.  App. 
342,  254  S.E.2d  392;  affid-  244  Ga   396,  260  S.E.2d  89  (1979). 

Federal  Deposit  Insurance  Corporation  v.  Fidelity  and  Deposit  Companv  of 
Maryland  v.  Thomas  M.  Hutcheson.  et  al..  Civil  Action  File  No.  C77-1762A 
(U.S.D.Ct.,  N.D.Ga.  1977-79) 

FDIC  in  its  corporate  capacity  as  insurer  sued  to  collect  money  owed  under  a 
fidelity  bond  for  losses  caused  by  dishonesty  of  employees  of  a  closed  state  bank. 
The  FDIC  in  its  corporate  capacity  as  insurer  purchased  the  rights  of  the  closed 
state  bank  under  the  fidelit)'  bond.  The  case  involved  myriad  issues,  such  as  the 
authorization  of  the  dual  capacities  of  the  FDIC  under  federal  statutes  and 
decisional  law.  especially  12  USCA  §  1823,  subject  matter  jurisdiction  issues 
under  12  USCA  §  1819  and  28  USCA  §  1345;  whether  the  superior  equities 
doctrine  and  other  law  precluded  third  party  complaint  against  the  directors  of  the 
closed  state  bank  and  numerous  other  discovery  and  procedural  issues.  The  case 
was  ultimately  settled. 

Court:  Counsel  for  opposing  party: 

Senior  Judge  Albert  J.  Henderson*  Mr.  John  W   Hinchey 

United  States  Court  of  Appeals  Phillips,  Hinchey  &  Reid** 

for  the  Eleventh  Circuit  Atlanu,  Georgia 

56  Forsyth  Street,  N  W. 
Atlanta,  Georgia  30303 
(404)  331-6816 

*Judge  Henderson  presided  over  this  **Mr.  Hinchey  is  now  with 

case  as  a  Judge  on  the  United  States  another  law  firm: 

District  Court  for  the  Northern  Mr.  John  W.  Hinchey 

District  of  Georgia.  King  &  Spalding 

42nd  Floor 

191  Peachtree  Street,  N.E. 

Atlanta,  Georgia  30303-1740 

(404)  572-4600 

Hllson.  et  al.  v.  Washington  County  Board  of  Education,  et  al..  Civil  Action 
No.  2449  (L.S.D.Ct.,M.D.Ga.  1977-79). 

With  funding  from  the  National  Education  Association,  I  represented  the  plaintiff 
teachers  in  this  class  action  against  this  school  board  for  racial  discrimination  in 
faculty  employment.  The  class  was  certified,  and  the  liability  issue  was  tried 
before  Judge  Owens.  After  my  clients  prevailed  on  the  liability  issue,  the  school 
board  reinstated  the  teachers  but  still  refused  to  pay  damages  and  back  pay 
requested  by  certain  teachers.  I  then  began  trying  the  individual  teacher's  damage 
claims.    After  recovering  damages  in  the  first  teacher" s  damage  trial,  the  school 

-13- 


264 


board  settled  the  remaining  damage  claims, 
recovered  by  my  client. 


Half  of  my  attomeys'  fees  were  also 


Court: 

Chief  Judge  Wilbur  D.  Owens. 
United  States  District  Court 
Middle  District  of  Georgia 
Macon  Division 
P.  O.  Box  65 
Macon,  Georgia  31202 
(912)  752-3491 


Counsel  for  opposing  parties: 

Jr.   The  Honorable  Thomas  A.  Hutcheson* 
State  Court  of  Washington  County 
P.O.  Box  621 

Sandersville.  Georgia  31082-0621 
(912)552-6911 

"Judge  Hutcheson  handled  this  case 
while  in  private  practice. 

The  Honorable  Denmark  Groover.  Jr. 

Groover  &  Childs 

P.  O.  Box  898 

Macon.  Georgia  31202-0898 

(912)  745^712 


5.         Thelma  Davis  v.  Griffin  Spalding  County  Board  of  Education.  445  F.Supp. 
1048  (U.S.D.Ct.,N.D.Ga.  1975) 

With  funding  from  the  National  Education  Association.  I  represented  the  plaintiff 
Thelma  Davis  in  her  claim  against  the  local  school  board  for  age  discrimination 
in  faculty  employment  and  for  impermissibly  enacting  a  65  mandatory  retirement 
age  when  the  mandatory  sute  retirement  system  allowed  teachers  to  retire  as  late 
as  age  70.  Plaintiff  Davis  was  employed  continuously  as  a  classroom  teacher  for 
21  years  but  was  not  rehired  solely  because  of  her  age.  The  sute  law  provided 
for  mandatory  retirement  of  public  school  teachers  at  age  70.  but  the  local  school 
board,  after  allowing  plaintiff  to  teach  for  three  years  past  age  65,  passed  a  new 
mandatory  retiremeni  at  age  65.  Plaintiff  had  criticized  the  defendant's  school 
policies,  worked  for  the  defeat  of  a  local  school  bond  referendum  as  unnecessary, 
and  worked  with  the  NEA  to  change  teachers'  contracts. 

The  trial  court  granted  my  client's  motion  for  summary  judgment  based  on  the 
pendent  state  law  claim  that  the  local  school  board  was  not  authorized  to  enact  the 
mandatory  retirement  age  of  65  because  the  state's  public  policy  prevailed  over 
the  local  school  board's  right  to  set  a  lower  mandatory  retirement  age.  The  trial 
court  also  awarded  back  pay  to  my  client,  plaintiff  Thelma  Davis,  fuiding  the 
defendant  local  school  board  had  not  timely  raised  the  defense  of  lack  of  capacity 
to  be  sued,  that  the  consent  to  be  sued  waived  governmental  immunity,  and  that 
the  local  school  board  had  sufTicient  local  resources  to  pay  a  judgment  for  back 
pay  without  transgressmg  state  law  authorizing  use  of  state  funds  for  educational 
purposes  only. 


-14- 


265 


Court 

Senior  Judge  Alben  J.  Henderson* 
United  States  Court  of  Appeals 

for  the  Eleventh  Circuit 
56  Forsyth  Street,  N.W. 
Atlanta.  Georgia  30303 
(404)  331-6816 


Counsel  for  opposing  partv: 

Mr.  Dow  N.  Kirkpatrick,  II 
Alston  &  Bird 
One  Atlantic  Center 
1201  W.  Peachtree  Street 
Atlanta.  Georgia  30309-3424 
(404)  881-7346 


6. 


*Judge  Henderson  presided  over  this 
case  as  a  Judge  on  the  United  States 
District  Court  for  the  Northern 
District  of  Georgia. 

The  Travelers  Indemnity  Company  v.  A.  M.  Pullen  &  Co..  161  Ga.  App. 
784,  289  S.E.2d  792  (1982)  (cert,  denied) 


I  represented  the  plaintiff  Travelers,  which  issued  surety  bonds  for  a  construction 
contractor  based  on  financial  statements  cenified  by  defendant  Pullen,  an 
accounting  firm  The  contractor  became  bankrupt  and  defaulted  on  various 
projects  My  client  Travelers  sued  Pullen  for  over  $30  million  in  damages  for 
negligence,  breach  of  contract  and  fraud  in  preparation  and  cenification  of  the 
financial  statements  The  trial  coun  granted  summary  judgment  to  defendant 
Pullen.  finding  that  plaintiff  Travelers  was  a  third  party  not  in  privity  and 
Travelers  could  not  sue  Pullen. 


As  a  matter  of  law  the  appellate  court  reversed  and  held  that  my  client  Travelers 
as  a  third  party  could  sue  Pullen.  After  1  obtained  the  reversal  on  appeal  and 
Travelers'  right  to  sue,  my  client  Travelers  received  a  substantial  settlement  from 
defendant  Pullen  which  is  protected  by  a  non-disclosure  agreement. 


Trial  Court: 

Chief  Judge  William  W   Daniel 
Superior  Coun  of  Fulton  County 
Atlanta  Judicial  Circuit 
185  Central  Avenue,  S.W. 
Atlanu,  Georgia  30303 
(404)  730-4318 


Appellate  Court: 

The  Honorable  A.  W.  Birdsong,  Jr. 
Georgia  Court  of  Appeals 
412  State  Judicial  Building 
40  Capitol  Square,  S.W. 
Atlanta,  Georgia  30334 
(404)  656-3454 


Counsel  for  opposing  party: 

Mr.  George  B.  Haley,  Jr. 

Mr.  Richard  R.  Cheatham 

Kilpatrick  &  Cody 

1100  Peachtree  Street 

Suite  2800 

Atlanta.  Georgia  30309-4530 

(404)  815-6370 


-15- 


266 


Phoenix  Insurance  Co..  et  al.  v.  Aetna  Casualty  &  Surety  Co..  144  Ga.  App. 
555,  241  S.E.2d  445  (1978). 

I  represented  the  defendant  Aetna  in  a  complicated  insurance,  reinsurance  and 
fidelity  bond  dispute.  The  trial  court  granted  summary  judgment  against  my 
client  Aetna  for  over  $1  million.  I  handled  the  appeal  and  that  summary 
judgment  was  reversed  in  toto  in  1978.  The  case  was  ultimately  dismissed 
against  Aetna.  When  the  case  was  refiled  by  the  same  plaintiff  in  1983,  I  moved 
for  summary  judgment  on  behalf  of  Aetna  based  on  certain  statute  of  limitation 
defejises,  and  the  plaintiff  voluntarily  dismissed  its  case  with  prejudice  in  July 
1984. 


Trial  Court: 

Judge  Claude  Shaw  (deceased) 
Superior  Coun  of  Fulton  County 
Atlanta  Judicial  Circuit 


Appellate  Court: 

The  Honorable  A.  W.  Birdsong,  Jr. 
Georgia  Court  of  Appeals 
412  Sute  Judicial  Building 
40  Capitol  Avenue,  S.W. 
Atlanta.  Georgia  30334 
(404)  656-3454 


Counsel  for  opposing  party: 

The  Honorable  Sam  F.  Lowe.  Jr.  (deceased) 
Atlanta,  Georgia 

Presidential  Ltd.  v.  Highlands  Insurance  Co.  v.  Beale  Roofing  and  GAF 
Corooration,  Civil  Action  File  No.  C77-120A  (U.S.D.Ct.,N.D.Ga.  1977-79). 

The  plaintiff  Presidential  Ltd.  entered  into  a  construction  contract  with  PC. 
Dinkins  for  construction  of  a  hotel.  The  defendant  Highlands  Insurance 
Company,  as  surety,  issued  performance  and  payment  bonds  on  behalf  of  the 
contractor  Dinkins  who  later  defaulted  under  his  construction  contract.  I 
represented  the  plaintiff  Presidential  Ltd.  in  this  lawsuit  to  collect  over  $800,000 
under  the  bonds  due  to  Dinkins'  breach  of  his  construction  contract. 

My  client's  damages  resulted  from  myriad  construction  defects,  unpaid 
materialmen/ subcontractors,  and  delay  in  completion  of  the  hotel  The  defendant 
surety  filed  a  third  party  complaint  against  the  roof  subcontractor  and  the 
manufacturer  of  the  roofing  materials.  My  client  plaintiff  Presidential  Ltd. 
recovered  $640,000  in  settlement  after  extensive  litigation. 


Court: 

Judge  Robert  L.  Vining,  Jr. 
United  States  District  Court 
Northern  District  of  Georgia 
P.  O   Box  6226 
Rome,  Georgia  30162-6226 
(706)  291-5671 


Counsel  for  opposing  party: 

For  defendant  Highlands  Insurance  Company 
Mr  John  W    Hinchey* 
Mr.  Albert  E.  Phillips** 
Phillips,  Hinchey  &  Reid 
Atlanta,  Georgia 


-16- 


267 


Both  attornevs  are  now  with  different  law  firms: 


•Mr.  John  W   Hinchey 

King  &  Spalding 

42nd  Floor 

191  Peachtree  Street.  N  E. 

AUanu,  Georgia  30303-1740 

(404)  572-4600 


**Mr.  Albert  E.  Phillips 
Phillips  &  Reid 
1200  Harris  Tower 
233  Peachtree  Street.  N.E. 
Atlanta,  Georgia  30303 
(404)  659-6000 


For  defendant  GAF  Corporation       For  defendant  Beale  Roofing  Company 


Mr.  John  A.  Chandler 
Sutherland,  Asbill  &  Brennan 
999  Peachtree  Street,  N.E. 
Suite  2300 

Atlanu.  Georgia  30309-3964 
(404)  853-8029 


Mr.  Stephen  M.  Phillips 
Hendrick,  Spanos  &  Phillips,  P.C. 
1410  Peachtree  Center  Tower 
230  Peachtree  Street.  N.E. 
Atlanta,  Georgia  30303 
(404)  522-1410 


The  Fidelity  &  Guaranty  Company  of  New  York  v.  The  First  National  Bank 
of  Atlanta.  Civil  Action  No.  C80-1416A  (U.S.D.Ct.N.D.Ga.  1980-82) 

Aetna  Casualty  &  Surety  Company  hired  me  to  defend  Aetna's  insured.  The  First 
National  Bank  of  Atlanta,  which  had  paid  over  $1  million  in  forged  checks  An 
employee  of  General  Foods  Corporation  forged  checks  drawn  on  General  Foods' 
checking  account  at  the  First  National  Bank  of  Atlanta  General  Foods  recovered 
its  losses  from  its  surety.  The  Fidelity  &  Guaranty  Company  of  New  York,  under 
a  fidelity  bond  covering  employee  dishonesty.  General  Foods  assigned  to  the 
surety  all  claims  against  third  parties  based  on  the  forged  checks.  Thereafter,  the 
surety.  Fidelity  <t  Guaranty  Company  of  New  York,  sued  the  First  National  Bank 
of  Atlanta  for  paying  the  checks  bearing  a  forged  drawer  signature. 

The  bank's  defenses  were,  inter  alia.  (1)  that  General  Foods'  negligence 
substantially  contributed  to  the  making  of  the  forged  checks,  thereby  barring 
recovery  under  the  Uniform  Commercial  Code  as  adopted  in  Georgia  in 
O.C.G  A  §  109A-3-406  and  (2)  that  General  Foods  failed  to  give  the  bank  notice 
of  the  unauthorized  checks  within  60  days  after  the  bank  statements  were  made 
available,  thereby  precluding  General  Foods  from  assening  unauthorized 
signatures  against  the  bank  as  provided  in  the  UCC  as  adopted  in  Georgia  in 
O.C.G.A.  §  109A^-406.    The  case  was  ultimately  settled. 


Court: 

Judge  Roben  L  Vining,  Jr. 
United  States  District  Court 
Northern  District  of  Georgia 
P   O.  Box  6226 
Rome,  Georgia  30162-6226 
(706)291  5671 


Counsel  for  opposing  party: 

Mr  John  W    Hinchey* 
Mr   Alben  E   Phillips** 
Phillips,  Hinchey  &  Reid 
Atlanu,  Georgia 


■17- 


268 


10. 


Both  attorneys  are  now  with  different  law  firms: 

*Mr.  John  W.  Hinchey  •*Mr.  Albert  E.  Phillips 

King  &  Spalding  Phillips  &  Reid 

42nd  Floor  1200  Harris  Tower 

191  Peachtree  Street.  N.E.  233  Peachtree  Street.  N.E. 

Atlanu.  Georgia  30303-1740  Atlanu.  Georgia  30303 

(404)  572-4600  (404)  659-6000 

Chrysler  Credit  Corporation  v.  Southlake  Dodge.  Inc.  and  Paul  F.  Fusillo. 
Civil  Action  File  No.  C75-434  (U.S.D.Ct.,N.D.Ga.  1983-84). 


The  plaintiff  Chrysler  Credit  made  a  loan  to  Southlake  Dodge,  a  car  dealership, 
which  my  client  Paul  Fusillo  guaranteed.  In  1974,  the  plaintiff  Chrysler  Credit 
received  a  summary  judgment  for  $217,928.51  on  the  loan  against  the  defendants. 
The  defendants'  original  counsel  never  responded  to  plaintiffs  motion.  As  the 
motion  was  unopposed,  judgment  was  entered.  After  the  judgment  was  entered, 
Chrysler  Credit  took  possession  of  all  collateral  for  the  loan  and  sold  the  vehicles, 
equipment,  accounts  receivable,  and  all  assets  of  the  car  dealership.  For  nine 
years,  Chrysler  Credit  took  no  action  and  the  judgment  became  dormant. 

Nine  years  later,  in  1984,  Chrysler  Credit  sought  to  revive  the  1974  judgment  and 
seek  a  deficiency  from  my  client  defendant  Fusillo.  In  1984  1  was  retained  to 
defend  Mr.  Fusillo  in  connection  with  the  revival  and  deficiency  motions. 
Defendant  Fusillo  contended  the  judgment  already  was  satisfied  not  only  in  fact 
but  also  by  virtue  of  an  accord  and  satisfaction.  Alternatively,  defendant  Fusillo 
asserted  that  Georgia  law  presumes  the  collateral  equals  the  debt  because  Chrysler 
Credit  could  not  show  its  sale  of  the  collateral  was  commercially  reasonable  under 
O.C.G.A.  §  11-9-504.  There  were  numerous  other  defenses.  Ultimately,  the 
Court  denied  Chrysler  Credit's  motion  to  seek  a  deficiency,  and  my  client  Fusillo 
prevailed  as  a  matter  of  law. 


Court: 

Senior  Judge  Charles  A.  Moye. 
United  Sutes  District  Court 
Northern  District  of  Georgia 
2342  U.S.  Courthouse 
75  Spring  Street.  S.W. 
Atlanta.  Georgia  30303 
(404)  331-4559 


Counsel  for  opposing  party: 

Jr.  Mr.  Gregory  J   Digel 

Branch.  Pike,  Ganz  &  O'Callaghan 
15th  Floor,  Two  Midtown  Plaza 
1360  Peachtree  Street,  N.E. 
Atlanu.  Georgia  30309-3507 
(404)  898-8000 


-18- 


269 

19.  Legal  Activities:  Describe  the  most  significant  legal  activities  you  have  pursued, 
including  significant  litigation  which  did  not  progress  to  trial  or  legal  matters  tkat 
did  not  involve  litigation.  Describe  the  nature  of  your  participation  in  this  question, 
please  omit  any  information  protected  by  the  attorney-client  privilege  (anless  the 
privilege  has  been  waived). 

The  vast  majority  of  my  law  practice  was  civil  litigation  involving  over  200  lawsuits  in 
federal  and  state  courts,  as  outlined  in  questions  17  and  18  above. 

In  addition  to  handling  many  lawsuits  in  federal  and  state  trial  courts,  my  law  practice 
also  involved:  (a)  construction  contract  cases  before  the  American  Arbitration 
Association;  (b)  construction  contract  claim  negotiations  where  disputes  arose  between 
parties  dunng  the  course  of  construction  on  a  project;  (c)  investigation  of  claims  for  and 
against  insurance  companies,  rendering  written  opinions  as  to  coverage,  and  negotiatiflg 
settlements. 

My  legal  activities  also  included  extensive  involvement  and  leadership  roles  in  local,  state 
and  national  bar  associations  and  activities,  as  outlined  in  question  9  above. 

Finally,  I  have  served  on  many  committees.  State  commissions,  and  the  boards  of  ajn- 
profit  organizations,  all  of  which  seek  to  improve  the  civil  and  criminal  justice  system, 
as  also  outlined  in  questions  9  and  16  above. 


-19- 


270 


II.   FINANCIAL  DATA  AND  CONFLICT  OF  INTEREST  rPUBLIC) 

1.  List  sources,  amounts  and  dates  of  all  anticipated  receipts  from  deferred  income 
arrangements,  stock,  options,  uncompleted  contracts  and  other  future  benefits  which 
you  expect  to  derive  from  previous  business  relationships,  professional  services,  Tu-m 
memberships,  former  employers,  clients,  or  customers.  Please  describe  the 
arrangements  you  have  made  to  be  compensated  in  the  future  for  any  flnancial  or 
business  interest. 

If  confirmed,  I  will  resign  from  my  present  position  as  Judge  of  the  Superior  Court  of 
Fulton  County  and  will  withdraw  all  funds  in  my  State  of  Georgia  and  Fulton  County 
retirement  plans  and  transfer  these  funds  to  my  existing,  personal  IRA  account.  I  will 
have  no  continuing  financial  interest  in  any  pension  or  retirement  plan  or  otherwise  as 
a  result  of  any  current  or  prior  employment. 

I  have  no  financial  or  business  relationships  to  sever  or  for  which  to  be  compensated. 

2.  Explain  how  you  will  resolve  any  potential  conflict  of  interest,  including  the 
procedure  you  will  follow  in  determining  these  areas  of  concern.  Identify  the 
categories  of  litigation  and  fmancial  arrangements  that  are  likely  to  present  potential 
conflicts-of-interest  during  your  initial  service  in  the  positions  to  which  you  have 
been  nominated. 

I  will  follow  all  guidelines  and  standards  of  the  Code  of  Judicial  Conduct  for  United 
States  District  Court  Judges.  Among  other  procedures,  I  will  not  preside  over  any 
matter,  or  hear  the  case  of  any  party,  which  presents  a  conflict  of  interest,  a  potential 
conflict  of  interest,  or  the  app>earance  of  a  conflict  of  interest. 

I  am  not  aware  of  any  categories  of  litigation  or  flnancial  arrangements  which  will 
present  potential  conflicts  of  interest  during  my  service,  except  as  follows: 

(a)  I  have  not  had  a  financial  interest  in  my  prior  law  firm  of  Powell,  Goldstein, 
Frazer  &  Murphy  since  1984.  However,  to  avoid  even  the  appearaiKe  of  a 
conflict,  I.  as  a  Sute  trial  judge  for  nine  years,  have  not  presided  over  cases 
where  my  former  law  firm  represents  a  party.  I  plan  to  continue  that  practice  as 
a  federal  Judge. 

(b)  My  husband  has  an  interest  in  ceruin  limited  businesses  and  real  esute  outlined 
in  our  flnancial  sutements  in  Exhibit  5.  Of  course,  I  would  not  preside  over  any 
matter  involving  my  husband's  businesses  or  real  esute. 

3.  Do  you  have  any  plans,  commitments,  or  agreements  to  pursue  outside  employment, 
with  or  without  compensation,  during  your  servke  with  the  court?   If  so,  explain. 

None. 


-20- 


271 


List  sources  and  amounts  of  all  income  received  during  the  calendar  year  preceding 
your  nomination  and  for  the  current  calendar  year,  including  all  salaries,  fees, 
dividends,  interest,  gifts,  rents,  royalties,  patents,  honoraria,  and  other  items 
exceeding  $500  or  more.  (If  you  prefer  to  do  so,  copies  of  the  financial  disclosure 
report,  required  by  the  Ethics  in  Government  Act  of  1978,  may  be  substituted  here.) 

A  copy  of  the  financial  disclosure  repon,  required  by  the  Ethics  in  Government  Act  of 
1978,  is  attached  as  Exhibit  4. 

Please  complete  the  attached  financial  net  worth  statement  in  detail  (Add  schedules 
as  called  for). 

See  Exhibit  5. 

Have  you  ever  held  a  position  or  played  a  role  in  a  political  campaign?  If  so,  please 
identify  the  particulars  of  the  campaign,  including  the  candidate,  dates  of  the 
campaign,  your  title  and  responsibilities. 

No. 


-21- 


272 


m.    GENERAL  fPUBLlO 

1.  An  ethical  consideration  under  Canon  2  of  the  American  Bar  Association's  Code  of 
Professional  Responsibility  calls  for  "ever>'  lawyer,  regardless  of  professional 
prominence  or  professional  workload,  to  find  some  time  to  participate  in  serving  the 
disadvantaged."  Describe  what  you  have  done  to  fulfill  these  responsibilities,  listing 
specific  instances  and  the  amount  of  time  devoted  to  each. 

In  my  law  practice,  I  handled  several  pro  bono  civil  and  criminal  cases  as  an  attorney. 
As  a  lawyer,  I  participated  in  Atlanta  Legal  Aid's  Saturday  volunteer  lawyer  program 
where  private  attorneys  staffed  the  Atlanta  Legal  Aid  office  on  Saturday  and  accepted 
four  to  five  clients  per  Saturday. 

During  1988-1991,  I  served  on  the  Board  of  Directors  of  the  Atlanu  Volunteer  Lawyers 
FouiKlation  ("AVLF"),  which  recruits  attorneys  to  handle  pro  bono  civil  cases  in  Fulton 
County  and  provides  pro  bono  attorneys  to  over  1,000  low  income  clients  in  Fulton 
County,  Georgia. 

During  1990-1992, 1  served  on  the  Outreach  Committee  of  my  church  which  awards  over 
$100,000  in  grants  to  numerous  non-profit  organizations  assisting  the  disadvantaged. 

During  1988-1991 ,  1  volunteered  as  a  Sunday  School  teacher  for  elemenury  school  age 
children  at  Emmaus  House,  serving  children  from  poor  inner-city  families. 

During  1976-1979  1  served  on  the  Board  of  Directors  of  Metro  Atlanta  Mediation  Center. 
Inc. ,  which  operates  The  Bridge,  a  non-profit  family  counseling  center  providing  services 
to  low  income  families. 

During  1990  to  the  present,  I  have  served  as  a  member  of  the  State  Bar  of  Georgia 
Correctional  Facilities  and  Services  Committee  which,  inter  alia,  promotes  and  oversees 
the  "BASICS"  program  offering  employment  workshops  for  inmates  prior  to  release. 

2.  The  American  Bar  Association's  commentary  to  its  Code  of  Judicial  Conduct  states 
that  it  is  inappropriate  for  a  judge  to  hold  membership  in  any  organization  that 
invidiously  discriminates  on  the  basis  of  race,  sex,  or  religion.  Do  you  currently 
belong,  or  have  you  belonged,  to  any  organization  which  discriminates  -  through 
either  formal  membership  requirements  or  the  practical  implementation  of 
membership  policies?  If  so,  list,  with  dates  of  membership.  What  have  you  done 
to  try  to  change  these  policies? 

No. 


-22- 


273 


Is  there  a  selection  commission  in  your  jurisdiction  to  recommend  candidates  for 
nomination  to  the  federal  courts?  If  so,  did  it  recommend  your  nomination?  Please 
describe  your  experience  in  the  entire  judicial  selection  process,  from  beginning  to 
end  (including  the  circumstances  which  led  to  your  nomination  and  interviews  in 
which  you  participated). 

Senator  Sam  Nunn  of  Georgia  established  a  Judicial  Selection  Advisory  Committee  with 
nine  members,  which  was  chaired  by  Atlanta  lawyer  Gordon  Giffin  of  the  firm  of  Long, 
Aldridge  &  Norman.  All  interested  persons  were  invited  to  apply.  All  applicants 
completed  an  extensive  questionnaire  and  submitted  writing  samples  by  May,  1993.  All 
applicants  were  interviewed  by  the  entire  Judicial  Selection  Advisory  Committee  in  June, 
1993.  Thereafter,  Senator  Nunn  personally  interviewed  numerous  candidates  for  the  two 
vacancies  on  the  United  Slates  District  Court  for  the  Northern  District  of  Georgia. 
Senator  Nunn  subsequently  recommended  me  as  a  candidate  for  one  vacancy  to  President 
Bill  Clinton  Subsequently,  I  completed  questionnaires  for  the  Department  of  Justice, 
the  Federal  Bureau  of  Investigation,  and  the  American  Bar  Association.  I  was 
interviewed  in  person  by  official  representatives  of  the  Department  of  Justice,  the  Federal 
Bureau  of  Investigation,  and  the  American  Bar  Association. 

Has  anyone  involved  in  the  process  of  selecting  you  as  a  judicial  nominee  discussed 
with  you  any  specific  case,  legal  issue  or  question  in  a  manner  that  could  reasonably 
be  interpreted  as  asking  how  you  would  rule  on  such  case,  issue,  or  question?  If  so, 
please  explain  fully. 

No. 

Please  discuss  your  views  on  the  following  criticism  involving  "judicial  activism". 

The  role  of  the  Federal  judiciary  within  the  Federal  government,  and  within  society 
generally,  has  become  the  subject  of  increasing  controversy  in  recent  years.  It  has 
become  the  target  of  both  popular  and  academic  criticism  that  alleges  that  the 
judicial  branch  has  usurped  many  of  the  prerogatives  of  other  branches  and  levels 
of  government. 

Some  of  the  characteristics  of  this  "judicial  activism"  have  been  said  to  include: 

a.  A  tendency  by  the  judiciary  toward  problem-solution  rather  than  grievance- 
resolution; 

b.  A  tendency  by  the  judiciary'  to  employ  the  individual  plaintiff  as  a  vehicle  for 
the  imposition  of  far-reaching  orders  extending  to  broad  classes  of 
individuals; 

c.  A  tendency  by  the  judiciary  to  impose  broad,  affirmative  duties  upon 
governments  and  society; 

d.  A  tendency  by  the  judiciary  toward  loosening  jurisdictional  requirements 
such  as  standing  and  ripeness;  and 

-23- 


274 


e.         A  tendency  by  the  judiciary  to  impose  itself  upon  other  institutions  in  the 
manner  of  an  administrator  with  continuing  oversight  responsibilities. 

Federal  trial  judges  should,  and  generally  do,  decide  individual  cases  based  on  the 
relevant  facts  and  applicable  law,  resolve  only  the  grievance  before  them,  and  do  not 
employ  an  individual  plaintiff  as  a  vehicle  for  the  imposition  of  far-reaching  orders 
extending  to  a  broad  class  of  individuals  or  institutions.  In  fact,  various  elements 
combine  to  limit  the  role  of  the  Federal  judiciary.  For  example.  Federal  trial  courts  have 
specific,  limited  jurisdiction  as  to  what  cases  may  be  heard  and  decided.  Standing  and 
ripeness  requirements  further  limit  what  Federal  trial  courts  can  hear  and  decide.  In 
addition.  Federal  trial  judges  are  bound  by  a  large  body  of  judicial  precedent,  plus 
legislative  enacunents  significantly  controlling  the  cases  and  issues  to  be  decided. 


-24- 


275 


FINANCIAL  DISCLOSURE  REPORT     KHnKsiHlS"- 

{5    U.S.C.A.    App.    6,    tS101-X12) 


1.   r«raoe  ttaportlsg   (Laat  ammm,    tlrst,    middl*   lnlt.l«lj 


HULL.  FRANK  MAYS 


2.    Court  or  Organization 


United  Stales  District  Court 
for  Northern  District  of  Georgia 


3.   Dat*  of  Haport 

Feb.  10,  1994 


4.  Tltl*   [Xrtlcla  III  ^udgaa  Indlcat*  activ*  or 

aanlor  atatua;  Haglatxata  ludgaa  indlcata 
lull-  or  part-tlsaj 

United  States  District  Court  Judge  -  Active 


Report  ryp«  (cnacK  apprppflata  5Xp«) 

Noalnatlon,  Data „' 

Initial   Annual    Final 


6.  ftaportlog  Parlod 

1/1/93  -  12/31/93 
1/1/94  -  2/10/94 


7.    Cb«ab«r*  or  Of  fie*  Xddx*«a 

Judge.  Fulion  Superior  Court 
Atlanu  Judicial  Circuii 
185  Ctnu^al  Ave.  SW.,  Room  T4705 
Atlanta   Georgia  30303 


8.  On  ui*  baalB  of  tbo  InforsAtloB  conlainad  Id  tlila  Raport.  It 
la,  in  ay  opinloD,  In  coapllanca  wltb  appllcablo  lawa  and 
ragulatlona  


Raviawlny  Offlcar  SlgnaLura 


IMPORTANT    NOTES:      The   instrucaons     accompanying     this  form   must   be  followed.    Complete  all  parts, 
cbeddng  the  NONE  box  Tor  each  section  where  you  have  no  I'eportable  infonnation.    Sign    on  last  page 


I.     POSITIONS.     (Reporting  individual  only;  see  pp.  7-8  of  Instructions.) 

POSITION  NAME  OF  ORGANIZATION/ENTITY 

I  NONE       (No  raporubla  poaltloaa) 

Director.  Board  of  Directors 


American  Judicature  Society.  Chicago,  Illinois 


Member 


State  of  Georgia  Commission  on  Family  Violence 


II,     AGREEMENTS.     (Reponing  individual  only,  see  p.  8-9  of  Instructions.) 
DATE  PARTIES  AND  TERMS 


H 


NONE        (Ho  raportablo  agr««aanta) 


NON-INVESTMENT  INCOME.     (Reporting  individual  and  spouse;  see  pp.  9-12  of  Instructions.) 


DATE 
(Honoraria  only) 


SOURCE  AND  TYPE 


1  I        NONE        (Ho  raportabla  aon-lnvaat«a&t  Incoaa) 

'  1/1/93  -  1/31/94 


Slate  of  Georgia.  Superior  Courts  of  Georgia 

(Judees  Salan') 


1/1/93  -  1/31/94 


1/1 '93  -  1/3  r94 


Board  of  Comnussioners  of  Fulton  Count>' 
fliirige's  Salary ' 


GROSS  INCOME 
(yours,  not  spouse's) 


70.948.28  (1993) 
$      6.112.00(1994) 

29.933  74  (1993) 
$ 2.550  00  (I9')4) 


Lord.  Aeck  &.  Sareeni.  Inc   (Architecis  Salar>) 


EXHIBIT  4 


276 


FINANCIAL  DISCLOSURE  REPORT  (cont'd) 


>  of  P«rBDn  Importing 

HULL.  FRANK  MAYS 


tfXM  of  ftspart 

Feb.  10.  1994 


IV.    REIMBURSEMENTS  and  GIFTS  -  transportation,  lodging,  food,  entertainment. 


(Indodcs  those  to  spouse  and  dependent  children:  use  the  parentheticals  "(S)'  and  '(DC)'  to  indlalc  rcporlabie 
reimbunemeots  and  gifts  received  by  spouse  and  dependent  children,  mpectively.    Sec  pp.13-15  of  Initmctioaa.) 

SOURCE                                                     DESCRIPTION 
NONE      lao  aocb  r*porx«tol*  r«labara«aaj)t«  or  gifts) 
Mnt  applirahlf  imHyr  Swtinn   in?rh'> 


n 


OTHER  GIFTS,     (includes  those  to  spouse  and  dependent  children;  use  the  parentheticals  '(S)*  aod  '(DC)*  to 
indicate  other  gifts  received  by  spouse  and  dependent  children,  respectively.  See  pp.15-16  of  Instructioas.) 


D 


SOURCE 


NONE   (Mo  aoeta  raporxabl*  glfla) 


DESCRIPTION 


VALUE 


Not  applicable  under  Section  102(h) 


VI.     LIABILITIES,     (includes  those  of  spouse  and  dependent  children;  indicate  where  applicable,  person  respoosible 
for  liability  by  using  the  parenthetical  *(S)'  for  separate  liabilit>  of  spouse,  *(J)'/orjoiiit  liability  of  reportiiit 


'  liability  by  using  the  parenthetical  *(S)'  for  separate  liabilir>  of  spouse,  *(J)'  for jo 
individual  ana  spouse,  and  '(DC)*  for  liability  of  a  dependent  child,  ^ee  pp.lfr'18  orlnstructioos.) 


H 


CREDITOR 
NONE      (ao  r»perubl>  llatillltlM) 


DESCRIPTION 


VALUE    CODE* 


VAua  ooou: 


J  •  $13,000  or  !■•• 

a  -  s2So,ooi  u  ssoo.ooo 


a  •  sis, 001  to  sso,ooo 

O  •   (900,001    to  SI, 000, 000 


SSO.OOl  to  sioo.ooo 
Hoto   UlAS   $1,000,000 


SlOO.OCl  ts  (IM.OOO 


277 


FINANCIAL  DISCLOSURE  REPORT  (cont'd) 


Naift«  of  P«r«on  Rsportlng 

HULL.  FRANK  MAYS 


Date  o;  Raporx 

Februan'  10.  1994 


VII.    INVESTMENTS  and  TRUSTS  --  income,  value,  transactions. 

and  dependent  children;  see  pp.  18-27  of  Instructions.) 


(Includes  those  of  spouse 


p««crlptlon    of  AAflac* 
(iacludins    tru*t   MMt*) 

IndicAta,    wb*r«  appllc«blB,    own*r  of 
th«   a*p«i    DY   UBUia    Uia    par»ntrt«UC«l 
•(J)"    for   iolnt   ovn»ritilp  of   raport- 
Ing   individual    auc    aoouae,    "(S)      for 
aapaxar*    o»^aralilp    by    ■pouaa,    '(DC)" 
for  own^ranip  by  oapendant   cblld. 

Placa   *(X)*   afc«r  oach   aaaat 
•xaapt   froai  prior  dlacloaur*. 

Incoee 

djrlng 

reporting 

period 

c. 

Croas  valoe 

at  end  of 

reporting 

period 

D. 
Traoaactlona   during   reporting  period 

ID 

Alt., 
(k-B) 

12) 

rent  or 
lot.) 

(1) 

Valoe:, 
COOe' 
(J-P) 

12) 

Value 

Method^ 
Code' 
(O-W) 

bijiih, 

BftTcei:, 

r«d*«inp" 

tlon) 

i;   not   axenpt   iroa  di*=lo»ur«                 | 

ille: 
Hon to- 
Day 

!3) 

Value, 
code^ 
(J-P) 

(♦) 

code' 
(»-B) 

'5) 
Ideatlty  of 
bayer/aelier 
(11   private 
traDaaetloo] 

NO?^     (No  raportabla 
Incona,    aaaeta,    or 
rranaactlonat 

^  Real  Esuie-:<-15:  Woodhavcn  RJ  .NW 
Allanl.n     Fiilinr-  Tniinn     GA 

None 

N 

W 

^25^  Real  Esiaie-37  S[one>  Creek 
Hilrtin  Heart    B-a'j((>n  C^^  .  SC 

D 

Rem 

M 

W 

^  Undev    Real  Esiale-::  acres 
Hen^^  Cr\     GA 

None 

L 

W 

'stocks/Bonds  r   IR.^  accnuni 

B 

Div/lnl, 
CG 

L 

T 

^Fulion  Cr>  Reiiremeni  Plan 

None 

K 

T 

^Superior  Ct  JuL!|;t's  Reuremtrni  Plan 

None 

J 

T 

'  Real  F.stateLii]    partner 
Pine«   od  Ltd  .  Dekalh  Cr\.  GA 

None 

J 

W 

(S) 

^25%  stock  in  archiiectural  firm 
l^rd    Aeck  A:  Sari^ent.  Inc 

No 
tha: 

le  other 
sala^^' 

N 

u 

(S) 

*401fK)  Retircmeni  Plan  &.  Trust* 
I  ord    Aeck  &.  Sarcenl,  In: 

E 

Div/bt/ 
CG 

0 

T 

(S) 

'%locks/Bonds  in  IRA  accounl 
Smith  Ramr\  Shearscn 

B 

Div/lni 

K 

T 

(S) 

'^eal  EsuieSlock  in  Co-Op  Parking. 

Inr        Alljni.T     Fiilinn   Cn      G^ 

D 

D.v  M 

W 

(S) 

"■^eal  Esiaie-Ltd    Paruier 

P^Tirhtree  *;r     '  iil       Afiann     Ci  ^ 

None 

K 

w 

(S) 

^^cal  E5Uic-::nO  W    Wcslev  Rd 

None 

K 

w 

(S) 

'^5%  Real  Esiaie.  37  Sicine>  Creek 

Hilmn  Hrif'     R-jiifor.  rr\     SC 

D 

Rem 

M 

» 

(D 

:j^locks/Bonds,  RH.A's  (»o  accls* 
Smith  n^m-j   Shear^nn 

E 

Div/lnt/ 
CG 

N 

T 

(D 

r^'Slocks/Bonds.  MHA'.s  accl* 

C 

DivAni; 
CG 

K 

T 

(D 

:5'Rcal  Esiaie 

None 

M 

w 

(D 

:^h.57c  Real  E<;iaic-37  Sinn->  Creek 

Uilinn    U^tM      R/'atifiirf    Cn       ^(' 

D 

Rent 

M 

w 

(D 

:^\e2\  Esuie-:200  V.'  Wesle>  Rd 

None 

L 

w 

20 

I    Inc»»a/Caln    Cod»»:         *»S1,DOO   or    in*                       B>S1,001    to   52,500                       C-52,501    to   5,000                         D«$5,001   to   SIS, 000 
(See   Cc;.    B:    t    D41         E-S15.001    I.O   550,000             F-S50,001    to   SIOO.OOO               C-S100,001    to   51,000,000        B-Morp    thac    Sl.OOO.OtK) 

5   Value    Cooea:                        J-SlS.OOC   or    leaa                     K.SlS.OOl    to    SlO.OOO                  L-S50,001    to   5100,000               H-SIOO.OOI    to  5250,000 
[See   Col.    CI    1    031         l»-S250,rol    to    5500,000        0-5500,001    to    51. 000. 000        P-Wore   -Ibt.   51.000.000 

3  Valne  Heuiod  Codea:      Q-Ap?ralaal                                R-Coat    (real  estate  only)      S-Aaaeaament                                  T-C«Bb/M*rket 
(See  Col.    C2)                   U-Book  Value                             v-otber                                             w-Eatiaat«d 

'Sc;  auached  Iim  nf  smck'-'hond'^ 


278 


FINANCIAL  DISCLOSURE  REPORT  (cfflDI'd) 


•   of   Parson   Raporting 

HULL.  FRANK  MAYS 


D«ts  Of  luport 

Feb.  10,  1994 


VIII.    ADDITIONAL  INFORMATION  or  EXPLANATIONS,    (indicate  part  of  Report.) 

As  a  current  Judge  of  the  Superior  Court  of  Fulion  County.  Georgia.  I  participate  in  retirement  plans  with  the  Sute  of 
Georgia  and  Fulton  County  listed  in  items  VII  (5)  and  (6).  Upon  becoming  a  United  States  District  Court  Judge.  I  will 
resign  my  present  judgeship,  withdraw  those  retirement  funds,  and  transfer  them  to  my  IRA  account  in  item  Vn  (4). 


IX.    CERTIFICATION. 

Id  compliance  with  the  provisions  of  28  U.S.C.  §  455  and  of  Advisory  Opinion  No.  57  of  the  Advisory  Committee  on 
Judicial  Activities,  and  to  the  best  of  my  knowledge  at  tbe  time  after  reasonable  inquiry.  I  did  not  perform  any  adjudicatory 
function  in  any  litigation  during  tbe  period  covered  by  this  report  in  which  I.  my  spouse,  or  my  minor  or  dependent  children 
had  a  financial  interest,  as  defined  in  Canon  3C(3)(c).  in  tbe  outcome  of  such  litigation. 

I  certify  tbal  all  information  given  above  (including  information  pertaining  to  my  spouse  and  minor  or  dependent  children, 
if  any)  is  accurate,  true,  and  complete  to  tbe  best  of  my  knowledge  and  belief,  and  that  any  information  not  reported  was 
withheld  because  it  met  applicable  statutory  provisions  permitting  non-disclosure. 

I  further  certify  that  earned  income  from  outside  employment  and  honoraria  and  the  accepunce  of  gifts  which  have  been 
reported  are  in  compUance  with  tbe  provisions  of  5  U.S.CA.  app.  7.  §  501  et.  seq..  5  U.S.C  §  7353  and  Judicial  Conference 
regulations. 


Signature  , 


"^.fi^^Tiyhfiuf 


Date 


10^  1994 


NOTE:      ANY  INDIVIDUAL  WHO  KNOWINGLY  AND  WILFULLY  FALSIFIES  OR  FAILS  TO  FILE  THIS  REPORT 
MAY  BE  SUBJECT  TO  CIVIL  AND  CRIMINAL  SANCTIONS  (5  U.S.CA.  APP.  6,  {  104,  AND  18  U.S.C  i  1001.) 


■'■■"'■d  .:'■'  ?^'  ■:--^'::'^'  . 

■    .     <■  ;  -i?.. 

FIUNO  INSTRUCTIONS: 

Mail  signed  original  and  3  additional  copies  to:                           Jodidal  Ethic  Committee 

AdministiatWc  Otfioe  of  the 

United  Sutes  Courts 

Washington.  DC  20544 

-■•  ;'^'; 

279 


IN  THE  SUPERIOR  COURT  OF  FULTON  CCUNTY 
STATE  OF  GEORCU 


n/n 


A    /ykiyLyQ 


V7i/Au\ 


CIVIL  ACTION  FILE  NO.  J^O^W^J 


ORDER 

The  above  case  coming  en  for  hearing,  afcer 
having  been  published  ^i   provided  by  law,  and.no  appearance 
having  been  made,  the  same  is  distai^sed  for  want  of  prose- 
cution without  prejrraice.       /  y 


This     /'yday  of 


y 


.^^^^njP   y        .    1988. 


/t 


JUDGE  CLARENCE  COOPER /^ 
Fulton  Superior  Court,  A.J.C. 


EXHIBIT  6 


280 


IN  THE   SUPERIOR   COURT  OF   FULTON   COUNTY  f//77r7r~-- 
STATE   OF  GEORGIA 


JERRY  LARRY  COLLIER, 
Petitioner, 

V. 

DAVID  C.  EVANS,  LANS ON 
NEWSOME,  NEAL  B.  CHILDERS , 
and  THE  HONORABLE  FRANK 
M.  HALL, 

Respondents . 


CIVIL  ACTION 
NO.  E-07920 


ORDER 


This  matter  came  on  before  this  Court  on  February  25,  1993, 
for  oral  argument  on  Petitioner's  request  for  mandeunus  relief. 

The  gravamen  of  Petitioner's  assertion  was  that  the 
agreement  that  he  entered  into  in  Civil  Action  No.  D-76039  was 
invalid  and  should  be  set  aside.   Counsel  for  the  Respondents 
denied  there  was  any  impropriety  in  the  agreement,  but  agreed 
to  vacate  the  judgment  in  said  case  if  the  Petitioner  would 
return  the  $750.00  earlier  paid  to  him  and  to  a  trial  by  jury. 
Petitioner  agreed  to  do  so  and,  hence.  Petitioner's  request  tor 
mandeunus  relief  is  denied  as  moot. 

It  is  hereby  ORDKRKD  that  the  Petitioner  has  until 
*  March  31,  1993,  to  return  to  the  State  Law  Department  the  sum 
of  $750.00  which  was  tendered  to  him  in  settlement  of  Civil 
Action  No.  D-76039.   No  extensions  of  time  shall  be  given  to 
the  Petitioner  to  return  the  money.   If  the  money  is  returned 


281 

in  a  timely  fashion,  Civil  Action  No.  D-76039  can  be  re-opened. 
m  the  event  the  Petitioner  fails  to  return  the  money  to  the 
State  Law  Department  by  March  31,  1993,  the  matter  will  be  set 

for  further  hearing. 

This  order  is  based  upon  an  offer  made  by  the  Respondents  in 

open  Court  on  February  25,  19?'3- 

So  ordered,  this^>^h  day  of  March,  1993. 


282 


IK  THE  UNITED  STATES  DISTRICT  COURT 

FOR  THE  NORTHERN  DISTRICT  OF  GEORGIA 

ATIANTA  DIVISION 


JEFFREY  MILLS 

vs. 
HONORABLE  FRANK  M.  HULL 


l:92-CV-1463-RCr 


O  R  D  E  B 

This  action  is  before  the  court  on  plaintiff's  various  notions 
[il7-l]  I#18-l]  [120-1]  and  Ii21-1),'  and  defendant  Judge  Frank  M. 
Hull's  motion  for  reconsideration  [125-1]  or,  in  the  alternative, 
for  summary  judgment  [t25-2].   All  motions  are  unopposed.' 
p^gkground 

Plaintiff,  proceeding  pro  se.  alleges  that  Judge  Hull  declared 
plaintiff  incompetent  and  ordered  him  institutionalized  in 
violation  of  his  constitutional  rights.  Judge  Hull,  asserting  the 
doctrine  of  judicial  immunity,  moved  to  dismiss  plaintiff's  action. 
This  court  denied  Judge  Hull's  motion  in  light  of  plaintiff's  pro 
se  status,  plaintiff's  broad  allegations  of  wrongdoing,  and  the 
very  nigh  standard  for  succeeding  on  a  motion  to  dismiss.  See 
Order  of  April  16,  1993  [April  Order],  at  1-3. 


^Each  of  plaintiff's  motions  attempts  to  complain  of 
wrongdoing  by  Judge  Hull.  However,  the  motions  recite 
incomprehensible  and/or  irrelevant  information  without  requesting 
relief. 

^Failure  to  file  a  response  shall  indicate  that  there  is  no 
opposition  to  the  motion.   LR  220-l(b),  NDCa. 


283 


Discussion 

Judge  Hull  requests  that  the  court  reconsider  its  April  Order 
and  grant  the  notion  to  dismiss.  The  court  finds  a  grant  of 
summary  judgment  a  more  appropriate  alternative.  Under  Fed.  K. 
Civ.  P.  56,  the  court  should  grant  a  notion  for  sununary  judgaent 
where  "there  is  no  genuine  issue  as  to  any  material  fact  and  .  .  . 
the  moving  party  is  entitled  to  judgment  as  a  matter  of  law."  The 
movant  carries  her  burden  by  showing  the  court  that  there  is  "an 
absence  of  evidence  to  support  the  nonmoving  party's  case." 
Celotex  corn,  v.  Catrett .  477  U.S.  317,  325,  106  S.  Ct.  2548,  2554 
(1986) . 

The  evidence  submitted  indicates  that  after  plaintiff  vas 
arrested  for  violating  the  Georgia  Controlled  Substances  Act,  his 
case  was  assigned  to  Judge  Hull.  Affidavit  of  Judge  Frank  M.  Hull, 
at  1  2-4.  Based  on  plaintiff's  indigence,  Judge  Hull  appointed  a 
lawyer  to  represent  plaintiff.  Id.  at  J  5.  Plaintiff's  appointed 
counsel  requested  a  forensic  services  examination  to  determine 
plaintiff's  mental  state.  Id.  Judge  Hull  ordered  that 
examination.  Id.  The  evidence  also  shows  that  Judge  Hull 
performed  only  judicial  actions  with  regard  to  plaintiff.  Id.  «t 
8.  Plaintiff  has  offered  nothing  to  indicate  that  Judge  Hull  acted 
outside  of  her  official  capacity  or  that  Judge  Hull  acted  outside 
her  jurisdiction. 

"Judicial  immunity  is  an  absolute  immunity;  it  applies  even 
where  a  judge  acts  maliciously."  Harris  v.  Deveaux.  780  F.2d  911, 
914  (11th  Cir.  1986).   A  judge  is  entitled  to  such  immunity 


284 


provided:  (1)  the  judge  dealt  with  the  plaintiff  in  a  judicial 
capacity,  and  (2)  the  judge  did  not  act  "in  the  *clcar  absence  of 
all  jurisdiction.'"  Id.  (quoting  Stuwp  v.  Soartatian.  435  U.S.  349, 
357,  9B  S.  Ct.  1099,  1105  (1978)). 

1.  Judicial  Capacity 

Judge  Hull's  affidavit  indicates:  (1)  that  Judge  Hull 
performed  a  typical  judicial  function  in  ordering  plaintiff  to 
undergo  a  mental  exaoination;  (2)  that  Judge  Hull  acted  in  open 
court;  (3)  that  she  ordered  the  evaluation  because  plaintiff's 
criminal  case  was  pending  before  her;  and  (4)  that  the  actions  of 
which  plaintiff  complains  arose  directly  from  plaintiff's  visit  to 
Judge  Hull  in  Judge  Hull's  official  capacity.  Plaintiff  has 
offered  no  evidence  to  the  contrary.  Thus,  defendant  has 
established  that  she  acted  in  her  judicial  capacity. 

2.  Jurisdiction 

This  court  can  find  that  Judge  Hull  acted  in  the  clear  absence 
of  all  jurisdiction  only  "if  [Judge  Hull]  completely  lack[ed) 
subject  matter  jurisdiction."  Harris.  780  F.2d  at  916  (citing 
Dvkes  V.  Hosemann.  776  F.2d  942  (11th  Cir.  1985)  (en  banc)).  It  is 
undisputed  that  Judge  Hull  acted  within  her  jurisdiction  when  she 
granted  plaintiff's  criminal  counsel's  request  for  a  mental 
evaluation  of  plaintiff. 

Therefore,  the  court  finds  that  Judge  Hull  is  entitled  to 
judicial  immunity  and,  correspondingly,  grants  Judge  Hull's  motion 
for  summary  judgment. 


285 


Accordingly,  plaintiff's  various  notions  which  atteapt  to 
assert  wrongdoing,  but  which  raguest  no  relief  [fl7-I]  [118-1] 
[#20-1]  and  [121-1]  are  DENIED.  Defendant  Judge  Frank  M.  Hull's 
motion  to  reconsider  [#25-1]  is  DENIED  as  MOOT,  and  her  alternative 
notion  for  sumaary  judgment  [#25-2]  is  GRANTED.  The  Clerk  is 
DIRECTED  to  dismiss  this  action  as  to  Judge  Frank  Hull. 


SO  ORDERED 


,  this  t^\         day  of  June,  1993. 


/^^^U^ 


:HAR£>   C.    FREE 
Sf  NIOR  UNITED  STATES  DISTRICT  JUDGE 


-  -  'S93 


286 


UNITED  STATES  DISTRICT  COURT 

NORTHERN  DISTRICT  OF  GEORGIA 

ATLANTA  DIVISION 


lARRY  BRANT  SARGEANT 
vs. 

FULTON  COUNTY,  FULTON  COUNTY 
JAIL  PERSONNEL,  FULTON  COUNTY 
MORMONS 


FILED  IN' CLERKS  CFFii 
u.sar.  A-v 

JUL051S9C 


CIVIL  NO.  1:90-CV-1181-ODE 


9RPEP 


This  civil  rights  action  is  before  the  court  for  a 
frivolity  determination  pursuant  to  28  U.S.C.  S1915(d). 

This  case  purportedly  arose  after  Fulton  County  police 
officers  arrested  Plaintiff  and  seized  his  car  on  March  23, 
1990.'  Plaintiff,  acting  pro  se,  claims  this  arrest  was  made 
without  a  warrant  or  probable  cause  and  therefore  constitutes  an 
unlawful  search  and  seizure.  Plaintiff  also  alleges  that  he  was 
attacked,  apparently  just  prior  to  his  arrest,  by  elders  of  the 
Mormon  Church,  who  were  not  arrested.  In  his  initial  complaint. 
Plaintiff,  a  self -described  "Holy  Profit  of  God,  since  1962  and 
the  President  of  the  Church  of  Jesus  Christ  of  Latter  Day  Saints 
since  1951,"  seeks  one  billion  dollars  in  real  damages  and  one 
billion  dollars  in  punitive  damages. 

In  an  amended  complaint.  Plaintiff  further  alleges  that 
at  11:00  A.M.  on  March  23,  1990,  he  was  booked  into  the  Fulton 
County  Jail  and  confined  with  a  large  number  of  inmates  in  a 


'plaintiff  apparently  is  presently  incarcerated  at  the 
Fulton  County  Jail  in  Atlanta,  Georgia. 


287 


small  holding  cell.  Plaintiff  claims  he  became  ill  from  the 
smoke.  He  asserts  he  begged  the  guards  for  relief  and  around 
midnight  he  was  taken  to  another  room,  where  he  did  not  receive 
treatment  for  his  vomiting  condition,  which  was  caused  by  a 
bleeding  ulcer.  Plaintiff  states  that  he  was  forced  to  wait  in 
the  room  until  the  guards  finished  their  card  game  at  2:00  A.M. 
As  relief.  Plaintiff  requests  that  the  Defendant  jail  personnel 
each  be  fined  in  the  amount  of  $1000.00  and  imprisoned  for  one 
year. 

In  his  additional  amended  complaint.  Plaintiff  asserts 
that  the  Defendant  Mormons  evaded  paying  income  taxes.  He 
requests  that  this  court  sentence  them  to  serve  life  imprisonment 
at  Fort  Levenworth  and  order  them  "hung  on  the  Haliyards  [sic] 
of  the  U.S.S.  Constitution  and  towed  out  off  Plymouth  Rock,  seven 
miles  and  Drawn  and  Quartered  and  Fed  to  the  Fish,  by  the 
Destroying  Angel  of  God,  the  Holy  Ghost  and  Holy  Angel,  known  as 
the  Lion  of  the  Tribe  of  Judah." 

On  June  1,  1990,  Plaintiff  filed  an  additional 
complaint  alleging  that  he  was  brought  to  court  on  May  7,  1990, 
but  not  permitted  to  appear  and  that  he  was  appointed  a  public 
defender  after  he  pleaded  not  guilty.  He  asseirts  that  a 
Magistrate  set  his  bail  at  $800.00,  but  was  told  that  it  had  been 
increased  to  $2,800.00.  Plaintiff  alleges  that  he  was  brought 
to  court  on  June  1,  1990.  He  claims  that  Judge  Frank  Hull 
offered  to  release  him  on  time  served  under  a  plea  of  guilty. 
Plaintiff  further  avers  that  Judge  Hull  found  him  incompetent  to 


288 


stand  trial  and  ordered  hin  sent  to  St.  Regis  Medical  Center  for 
thirty  days.  As  relief.  Plaintiff  requests  that  the  court  fine 
Judge  Hull  $10,000  for  violating  his  constitutional  rights. 

Under  28  U.S.C.  S191S(d),  the  court  is  authorized  to 
dismiss  an  in  forma  pauperis  complaint  "if  satisfied  that  the 
action  is  frivolous  or  malicious."  Neitzke  v.  williains.  490  U.S. 
,  109  S.  ct.  1829  (1989).   Where  the  legal  theory  or  factual 

contentions  asserted  in  the  complaint  lack  an  arguable  basis,  a    I 

I 
claim  is  frivolous.  Id.   Having  read  and  considered  Plaintiff's    ' 

complaints,  the  court  finds  them  frivolous.  ; 

Under  the  circumstances  stated  in  the  complaints,  the  ' 
venerable  common  law  tenet  of  judicial  immunity  applies.  Tmbi^^r  j 
v.  Pachtman.  424  U.S.  423  n.  20  (1976).  Insofar  as  the  complaint  | 
may  seek  review  of  any  determinations  of  a  superior  or  municipal  | 
court  of  the  State  of  Georgia,  in  this  procedural  posture,  the 
court  lacks  subject  matter  jurisdiction.  This  court  possesseB 
"no  power  whatsoever  to  sit  in  direct  review  of  state  court 
decisions."  District  of  Coluinbia  Court  of  Appeals  v.  Feldman. 
460  U.S.  462  (1983)  (quoting  Atlantic  Coastline  Railroad  Co.  v. 
Leeowotive  Engineers.  398  U.S.  281  (1970)). 

As  to  the  claims  against  the  Fulton  County  Jail 
personnel.  Plaintiff  has  chosen  an  inappropriate  forum  in  which 
to  seek  the  relief  he  requests.  However,  construing  the  pro  ■• 
complaint  in  the  broadest  possible  light,  it  contains  facts  which 
arguably  may  state  a  claim,  such  that  dismissal  at  this  stage  of 
the  proceedings  would  be   inappropriate.    Neitzke   at  1829 


289 


(standard  under  28  U.S.C.  SX9I5(d}  not  co-equal  to  Fed. R. Civ. P. 

12(b)(6)). 

As  to  the  tax  related  allegations  against  the  un-naaed 
Horaon  elders,  Plaintiff  lac)cs  standing  to  pursue  that  clain. 
£££  Valley  Forae  College  v.  Americans  Dnited.  454  O.S.  464 

(1982).  Insofar  as  the  complaint  could  possibly  be  construed  to 
assert  any  other  claims  against  these  Defendants,  because 
Plaintiff  does  not  allege  that  these  individuals  are  state  actors 
or  provide  any  basis  for  diversity  jurisdiction,  the  court 
declines  to  exercise  jurisdiction. 

Accordingly,  Plaintiff's  claims  against  Judge  Hull  and 
the  Mormon  elders  are  DISMISSED  as  frivolous  pursuant  to  28 
U.S.C.  s 1915(d)  .  The  claims  against  Fulton  County  and  the  Fulton 
County  Jail  may  proceed. 

The  Clerk  is  DIRECTED  to  forward  .sufficient  United 

»■-  -. 

States  Marshal  Service  forms  and  summons  foms  to  Plaintiff. 
Upon  receipt.  Plaintiff  is  hereby  ORDERED  to  complete  the  tons 
and  return  them  to  the  Clerk  within  thirty  (30)  day*  from  the 
entry  date  of  this  order  so  that  process  may  be  served  on 
Defendants.  This  action  shall  proceed  no  further  until  these 
forms  are  returned.  A  failure  to  timely  comply  with  this  order 
will  result  in  a  dismissal  of  this  action  pursuant  to  L.R.  230- 
3.  Should  Plaintiff  fail  to  so  comply,  the  Cler)c  is  DIRECTED  to 
resubmit  this  case  to  the  Magistrate  after  the  aforementioned 
time. 


290 


Plaintiff  is  further  DIRECTED  to  serve  upon  Defendants 

or  their  counsel  a  copy  of  every  additional  pleading  or  other 

docuaent  he  files  in  this  aatter.   He  shall  include  with  each 

filing  a  certificate  stating  the  date  on  which  he  Bailed  an 

accurate  copy  of  that  document  to  Defendants  or  their  counsel. 

This  court  shrll  disregard  any  papers  Bubnitted  which  have  not    | 

I 
been  properly  filed  with  the  ClerJc  or  do  not  include  the    I 

certificate  of  service.  Plaintiff  is  DIRECTED  to  keep  the  court    | 

i 
and  Defendants  informed  of  his  current  address  at  all  times 

during  the  pendency  of  this  action. 

SO  ORDERED,  this   5~  day  of  July,  1990. 


ORINDA  D.  EVANS  ..-•-- 

UNITED  STATES  DISTRICT  Judge 

.  ■:    i 


SJ 


.0 


291 


FINANCIAL  STATEMENT 

Frank  M   Hull* 

ASSETS 

LIABILITIES                                           1 

Cash  on  hand  and  in  banks 

U.S   Govemmenl  secunlies 

Usied  secunties 

Uolisied  secuniies 

Accouou  and  notes  receivable: 

Due  from  relatives,  friends,  others 

Real  estate  owned 
100%  interest  in  pnmar>  residence 
3452  Woodhaven  Road,  N.W      S450.000 
Atlanta,  Georgia 

25%  interesi  in  vacaiion/renial  home 

37  Stoney  Creek  Road                  $  50.000 

Hilton  Head  Island,  SC 

Interesi  in  Pinewood  Ltd.  P'ship 
apanmeni  complex                        $  10.000 
Dekalb  Count) .  Georgia 

lOOS  inieresi  in  22  acres 

undeveloped  propeny 

Henry  County,  Georgia                S  65.000 

Real  estate  mortgages  receivable 

Autos  and  other  personal  propeny 
1989  Ford  Taurus                            5,000 
1986  Chevrolet  Suburban                 2.000 
An.  jewelry,  furniture                    35.000 

Cash  value  -  life  insurance 

Other  assets  -  itemize; 
IRA  account  (statemeni  attached) 
Fulton  County  Retirement  Plan 
Superior  Coun  Judges  Retirement  Plan 
Total  assets 

$    3.324 

Notes  payable  to  banks  -  secured 

S        0 

0 

Notes  payable  to  banks  -  unsecured 

0 

0 

Notes  payable  to  relatives 
Notes  payable  to  others 

0 

0 

0 

0 

Accounts  and  bills  due 

0 

0 

Unpaid  income  tax 

0 

575,000 

Other  unpaid  tax  and  inlerest 
Real  estate  mortgages  payable 

Chattel  mongages  and  other  liens  payable 
Other  debts  -  itemize: 

0 

30.000 
11.000 

0 

0 

0 

42,000 

0 

55,660 

38.889 

Total  liabilities 

$41,000 

6.373 

Net  worth 

$680,246 

$721,246 

Total  liabilities  and  net  worth 

1721,246 

CONTINGENT  LIABILITIES 

GENERAL  INFORMATION                  | 

As  endorser,  comaker  or  guarantor 

None 

Are  any  assets  pledged?   (Add  schedule) 

No 

On  leases  or  conirarts                                      | 

None 

Are  you  defendant  in  any  suits  or  legal  actions? 

No 

Legal  Claims 

None 

Have  you  ever  taken  bankruptcy? 

No 

Provision  for  Federal  Income  Tax 

None 

Other  special  debi 

None 

1 

'These  are  assets  in  name  oj  frank  M   Hut',  and  do  not  include  assets  in  name  of  husband  Antonm  Aeck  ('Tony')-    See  separate  Fuuutcial  Staumeni  oj 
husband  attached  hereto- 


EXHIBIT  5 


292 


_W     5 


.   o 

■To 

EE 


1 

3 

J 

2  sk 

^  o 

^? 

c  "^ 

«     V. 

> 

C     <U 

~     > 

o   ^ 

c 

a: 

'J  2 

£ 
E 

0 

i 

O     ^ 

L> 

c 
•1 

c 

o 

5  'o 

E 

E 

o 

J 

1^^  ^ 

E 

! 

E 

c 

o    *» 

o 
u 

•>.■( 

■  'A 

''■■i 

o 
o 

>• 
in 

i 
t 

?5          ^ 

so 

d 

•* 

4i# 

0 
6 
01 
at 

«■ 

CM 

1 

it 

« 

3 

5 

y  3 

11 

j:! 

> 

• 

u> 

CM 

--ll 

1 

o 
c 

'1 

■:v.-i 

M 

m 
2 

• 
E 

o 

c 

i 

* 

=      S      C       TJ^ 

>.  '?  ^    "  = 

o 

f^ 

r*  ^ 

u   c  S   <- 

M 

c 

C 

s 

Mi 

1! 

4     - 

O.  m 

■—    a 

0^: 

Jpl 

0 

<7l 

■O 

> 
■6 

3 

■fr^. 

n 

%• 

C    O     C)           «• 

-    s  -a 

ri 

o 

4) 
O 
U 

u 

< 

•1 

> 
7 

(9 

■  ■> 

■  A 

ID 

■f.i 

« ; 

2 
> 

• 

! 
t 
,t 

•< 
\ 

0 

V* 

<-> 
0 

vt 

j£ 

r   o   •- 

1 

»• 

■'1 

J 

a. 

d 

'. 

«)      W      1» 

^   »..    *- 

M 

2 

^ 

i;     i«     = 

1 

i 

fc* 

\ 

3  H  o 

o  CO  s 

> 

; 

Ml 

^ 

"i   ^  vi        * 

■* 

=    1    s 

|a  3       ° 

o 

■* 

9> 

0 
0 

w 

£ 

« 

\ 

"-' 

** 

o 

t 

i 

3 

o 

G 

' 

o 

Ui 

i 

u 
u 

3 

• 

> 

UJ 

Z 

=    «J    c 

2  c   «) 

o 

03 

:>K 

\ 

"  2•.^- 

-J 

c 
(/I 

> 

\ 

i 

in 

g 

0 
O 

5 
o 

< 

a 

r 

t 

1 

(J 

z 

o 

-  i  § 

aj    ^     *.. 

3 
0 

1— 

r 

z  "■ 
0  z 

4) 

O 
(/) 
a: 

< 

LU 

r 
u> 

i^ 

z  : 
<r  " 

u. 

z 

0^ 

0-    ? 

)   tn  0: 
:    a  3 
•    <  >- 

£ 

•&• 

c 

r    0    r» 

UJ    -• 

'       UJ    UJ 

i 
O 

■c 

c 
o 

^;1 

c 

w 

c 

C 

12 

o  1 

w»  - 
O  ' 

2  • 

—   "^     0) 
-    C   00 

2    5     V, 
J)  ^    a> 

>     3     E 

z  < 

<    z  0 

J     <    -5 

c    0.3 

.2 

>     01    2 

\ 

E 

< 

:    Ui 

>  ; 
O  ' 

a    -  1- 

:  0  <- 

i    S3 

r)     —    UI 

n    2  z 

:    3  : 

X  °' 

(. 

Q   <J   to          i 

i    u.  < 

t    1/1  0. 

»S 

3    in  C 

D    ►-< 

V) 

•D 

C 

^ 

M 

"(5  .. 

>s 

JC 

J.  t/) 

V 

u 

—  -o 

c 

o 

3    C 

c 

> 

en 

S. 

3 

^4 

n : 

>  ; 


293 


FINANCIAL  STATEMENT 

Antonin  Aeck* 


ASSETS 

LIABILITIES 

Cish  on  band  and  in  banks 

U.S.  Covemmeni  securities 

Usied  secuniies 

1    Unlisied  secunties  ■  25%  siock  in 
Lord.  Aeck  &  Sargent,  Inc. 

Accounu  and  notes  receivable: 

Due  from  relatives,  friends,  otben 

Real  estate  owned 
33VS%  interest  in  two  acre 
residential  lot                                $  40.000 

Peactatree  South  Ltd   -  owns 

parking  lot,  Atlanta.  Georgia       S  26.000 

Co-op  Parking.  Inc      owns 

parking  lot.  Atlanta.  Georgia       SI02.000 

25%  interest  in  vacation/rental  home 
1     37  Sione>  Creek  Road                  S  50.000 
1     Hihon  Head  Island.  SC 

Real  estate  mortgages  receivable 

Autos  and  other  personal  propeny 

1985  Mercedes                              $   7.500 

1986  Chevrolei  Suburban                  2.000 
Alt,  jewelry,  furniture                    35,000 

Cash  value  -  life  insurance 

Olber  assets     itemize: 

IRA  account  (statement  attached) 

401(k)  Retirement  Plan  &  Trust 
(staiemeni  attached) 

Total  assets 

$  5.000 

Notes  payable  to  banks  -  secured 

%        0 

0 

Notes  payable  to  banks  -  unsecured 

0 

0 

Notes  payable  to  lelaiives 

0 

223.344 

Notes  payable  to  others 

0 

0 

Accounu  and  bills  due 

0 

0 

Unpaid  income  tax 

0 

218.000 

Other  unpaid  tax  and  interest 
Real  estate  mortgages  payable 
Chattel  mongages  and  other  liens  payable 
Other  debts  -  itemize: 

0 

11,000 

0 

0 

0 

44,500 

0 

36.369 

501.586 

Total  liabilities 

S  ll.OOO 

Net  wofih 

$1,017,799 

Si. 028.799 

Total  liabilities  and  net  worth 

$1,028,799 

CONTINGENT  LIABILfTlES                                             | 

GENERAL  INFORMATION 

As  endorser,  comaker  oi  guarantor 

On  leases  or  contracts 

Legal  Claims 

Provision  for  Federal  Income  Tax 

None 

Arc  any  assets  pledged?   (Add  schedule) 

No 

None 

Arc  you  defendant  in^any  suits  or  legal  actions? 

No 

None 

Have  you"  ever  taken  bankruptcy? 

No 

None 

Other  special  debt 

None 

Frank  M  Hull  aiiached  hereto 


EXHIBIT  5 


294 


■  ■■MA 


u 

< 


z 

o 

H 


52 


o 
u 
u 


T 

c5 

O) 

^5 

C5 

— 

0 

c 

0 

Vt 

c 

«) 

V 

c 

■0 

« 

> 

3 

•6 

0 

■0 

«« 

3 

0 

U 

4> 

u 

to 

< 

0 

0 

41 

•1 

-C 

3 

JA 

■o 
o 

"o 

r 

o 

Q. 


o   t 


8 


+ 

+ 

3) 

01 

+ 

+ 

m 

■c 

V 

■b 

■b 

IS 

ffi 
■b 

■b 
t) 

a. 

6 

V 

a: 

< 

2 

5 

0 

<t 

^ 

0 

0 

Z 

u 

3 

0 

z 

< 

03 

^ 

UJ 

0 

X 

r 

X 

^ 

S 

iS 

1 

1 

1 

1 

0 

0 
a 

5 
i3 

1 

E 

E 

E 

E 

E 

c 

e 

E 

E 

>- 

>• 

>- 

>. 

>■ 

>. 

>. 

>- 

>. 

tf> 

«i 

I/) 

1/) 

in 

</l 

in 

I/) 

in 

° 

8 

0 

8 

0 
t/> 

0 

8 

8 

8 

p«» 

8 

r* 

wS 

r« 

r» 

0 

•0 

8 

n 

«> 

s 

03 

«/> 

0* 

(O 

C"* 

0, 

ot 

tt 

o> 

o_ 

<M. 

ri 

V 

c>» 

« 

n' 

r** 

8 

8 

8 

8 

8 

8 

■<T 

■V 

a> 

0 

0 

10 

CM 

U> 

ID 

c* 

V 

1/1 

n 

c< 

S 

0 

8 

0 

^- 

0 

T 

to 

^ 

n 

en 

CN 

k/> 

m 

8 

05 

« 

8 

CM 

8 

CM 

0 

0 

OJ 

«- 

0 

O) 

d 

(b 

n 

•» 

CM 

to 

n 

n 

01 

«« 

0 
.0 

8 

8 

8 

s 

8 

0 

8 

8 

CM 

CM 

Ul 

lu 

UJ 

UJ 

UJ 

UJ 

U 

U 

in 

I/) 

in 

in 

in 

in 

(J 

^- 

> 

> 

V 

> 

>- 

> 

H- 

0 

0 

z 

Z 

z 

z 

z 

z 

0 

< 

-J 

u 

< 

u 

a 

CL 

UJ 

o: 

3 

(J 

0 

< 

0 

2 

a. 
q: 

u 

z 

1/1 

U. 

0 

z 

UJ 

o. 

0 
(J 

r 

0 
u 

0 

u 

0 

0 

a. 

ac 
0 
u 
a. 

u 

z 

0 

0 

a: 

< 

UJ 

3 
0 
u 

■D 

—1 

UJ 

3 

z 

8 

UJ 

0 

0 

m 

< 

-1 
< 

in 
0 

UJ 

Q 

< 
z 

UJ 

-J 
a. 

z 

<t 

5 

Ul 

z 

I 

UJ 

3 

4 

2 

! 

a. 

< 

0 

UJ 

u 

0 

o 

z 

< 

m 

u 

UJ 

0 

r 

I 

I 

:^ 

<i 

b 

V 

a 

s 

o 

z 

E 

E 

>«i 

VI 

8 

S 

so 

M 

r>* 

0 

e 

<n 

■  • 

0 

M 

8 

■w 

to 

«> 

0 

*" 

9 

M 

M 

C 


V 


V) 
U 

o 


295 


u  _ 

Uhi 

•CH 

U 

a 

2i 

-4 
O 


a" 

CT>C 

CH 

u  a 

a  01  ■■ 

<H 

0I> 

>     « 

-» 

£ 

brH 

£  0  (J> 

0^ 

U4J  C 

r^ 

«  «•-< 

•«Z4J 

3^ 

X     a 

ZlA 

>•» 

>'C> 

>• 

en 

■U 

«  atji 

-H   •• 

ae  c 

u  01 

eo- 

3  L, 

OU  u 

< 

O- 

O       fl 

91  = 

fMj: 

M 

0(JV  {/I 

w 

(J*a^ 

—  0 

ff*  •-*  AJ 

>« 

o 

■-1  0) 

^« 

0*J 

01  o  0 

z 

0  ■» 

u  0  u 

< 

MQ 

&a.a. 

296 


FINANCIAL  STATEMENT 

Richard  Hull  Aeck 
(Minor  Child) 


ASSETS 

LIABILITIES 

Cash  on  hand  and  in  banlu 

U.S.  Govemmeni  securities 

Listed  securities 

Unlisted  securities 

Accounu  and  notes  receivable: 

Due  from  relatives,  friends,  others 

Real  estate  owned 
Thirty  acres  undeveloped  propeny 
in  Highlands.  North  Carolina      S  60.000 

2S%  interest  in  vacation/rental  home 

37  Sioney  Creek  Road                 $  50,000 

Hilton  Head  Island.  SC 

33V4%  interest  in  two  acre 

residential  lot                              $  40.000 

Real  estate  mortgages  receivable 
Autos  and  other  personal  propeny 

Cash  value  -  life  insurance 
Other  asseu  -  itemize: 
Trust  account  (staiemeni  attached) 

Guardianship  account  (statement  attached) 
Total  assets 

$    1.500 

Notes  payable  to  banks  -  secured 

Notes  payable  to  banks  -  unsecured 

Notes  payable  to  relatives 

Notes  payable  to  others 

Accounts  and  bills  due 

Unpaid  income  tax 

Other  unpaid  tax  and  interest 

Real  estate  tnortgages  payable 

Chattel  mongages  and  other  liens  payable 

Other  debts  -  itemize: 

i  0 

1                     " 

0 

500 

0 

0 

0 

0 

0 

0 

0 

150.000 

0 

0 

0 

0 

0 

0 

0 

36.319 

275.248 

Total  liabilities 

S        0 

Net  worth 

$463,567 

$  463.567 

Total  liabilities  and  net  worth 

$463,567 

1              CONTINGENT  LIABILITIES 

GENERAL  INFORMATION 

As  endorser,  comaker  or  guarantor 

On  leases  or  contracts 

Legal  Claims 

Provision  for  Federal  Income  Ta;t 

Other  special  debt 

None 

Are  any  assets  pledged?   (Add  schedule) 

No 

None 

Arc  you  defendant  in  any  suits  or  legal  actions? 

No 

None 

Have  you  ever  taken  bankruptcy? 

No 

None 

None 

EXHIBIT  5 


297 


u 

< 

-J 


u 


O 

o 


■j    O 


<1 


e  c 


-.  i   o 


>?'• 


:fUi 


Z   3 

a:  u. 
a  z 


32 


J' 


^   ii 

>    V. 

Q. 

5  o 

o   == 

■^   '^ 

^     4> 

O    ^ 

?- 

C   =5 

—    *» 

E   u 

a? 

«l 

O     V 

"^  -c 

«    u 

-5  *^ 

3  ^ 

O   V 

^  ^ 

5? 

^  w 

C    ^    i^ 

o    u  5 

»)    »)    u 

■o  ■=  >. 

N? 

=>.3  S 

S  «  o 

%   c   >« 

-    ^. 

«   c   « 

»  i  «. 

■c   o 

4,     «     t^ 

3  S? 

33^ 

t-»     fli     c» 

2  «j  = 

c  ^    - 

^  -^   -« 

»)  .»  = 

O   (J    ». 

^       => 

2  "c   = 

c   «  -o 

f  2  " 

?  §  ^ 

«rt  ^   ^ 

C-.  3  3 

C     u    •» 

a  s^ 

S--2 

Oj             •_ 

2  ^  §■ 

w   o   =: 

^^^" 

a^  ffl    *. 

o    "    ^ 

Q     U     U 

2  ss 

^  8 

^  ^  z 

o    *•    S  >» 


Q.  u    u 
(U   -5   -O 


o 

U 

a:  ^ 
2  a> 

u  o 

z9 
o  o 


.a. 


18 


>  o:  _ 

g  (r  CT 

<  ■«  o 

§11 

c/i  5  2 
4  m  CO 

0-? 
3  e  O 


$« 


5  S 


"5  5 

1)     4J 
4)    5 


^  1  ?  i  = 

u    3 


■3  *  - 
~  O  i 
.3^-0 


<  2. 


62 

>  ==  _ 

*"  Q:  CTi 

o  5  r 


O  S  i 

'-'  P   " 
lU   3  '- 

:!<5  S 

>  5  <    5 

"i?  5  S    c 
<  in  03    ^ 

=  c  O 

8i^ 


u  c  y 

:£   o  ^ 

.§1 

C      U     cj 
W     *«     3 

■5  ^  - 

^     -.     CJ 

4»      i^      T 

^   ^5  £ 
5  to  S 


=  <n 


C    -3 


5! 

11 


01   o  c: 

^  =  = 

■;;     C     -| 

"  s  ^ 

—  -^   a, 

-  c  v> 

*^  ■*>    ^ 

V  ^    o 

^  ^^         I 

i  S  i     i 

Q  0  (o       a 


O  z 

(/»  q: 

a:  3 

<  .- 


a  t- 

■'  ; 

S3 

si 

3 

^i 

> . 

5  3 

75  : 

3  X 

0  > 

en  a. 

l-.i 

"** : 


i 

Si 


e 

£ 

0 
S 


o 
m 


298 


y 
-i 

-i 


t/-**   Ml 


.sn 


;^ 

§ 

^ 
< 

o 
u 

;?** 

.J 

< 

^ 

&. 

-       i 

■i^ 

s 

i 

CO 

z 

< 

■< 

0 

i 

< 

c2 

3 

J2 

"5 
.  -o 

.  o 

;    O 


Si 


•Si 


s*  w 


S  "  " 

V    »    " 

"9  ■«  ^ 


o  £ 


=  c 


i7   =    ■ 

^  J ;: 

«   '^   t* 

3  53 

i 'I 

■a  o  '' 
^    .   o» 

2   c   = 

c  >»  -0 
■.  ~  5 

4»    3     U 

a?  a 

S    c    » 

■SI* 

III 

«  25 
1*2 

u  ;  3 
c  •* 
a  u  •) 

e  ii  i- 

.9    Q.   ? 


5^ 


I   I 


3  < 


3  "3 


>    ^ 

a  -» 

52 
5  °- 

O  u.  (-. 
-*  —  « 
«»   o  *  S 

I  >  «  ; 
^  T  <j  „ 

a   -^  5  Q 
S   u.  iz  o 


X  J5 


z  a> 

Ui  Q 

uj  u.    g; 

i£  a  S 


a  -I 
r  O 


<  u  ■ 


■  0   O     Q.  O 
a:  O    4  s 


O 
3 

?  '^ 

>y 


<  1/1  ! 
z  -  ; 

<  S' 

(A  3    k 


(/> 


a       z  „ 
o      05 

o        <  S 

«  ~  J  s 
?»  50 

5y  y» 


<  s    U  O  u. 


< 

» 

0 

Q 

0 
0 

i 

0 

> 

•0 

ac 

r 

Ik 

« 

0 

UJ 

0 

0: 

< 

a: 
3 

0 

3 

0 

t/1 

u 

3 

lA 

fiC 

0 

> 

D 

0 

<t 

U 

3 

o 

o  ^ 
u  o 


58 

3  D  y 
u  o  u. 


2s 
*y 


u  >  o 

■oca 

i  <  o 
Sou- 

?  I  r 


•o 
c 

3 


O 
S 


■o 
c 
o 


299 


FINANCIAL  STATEMENT 

Molly  Hull  Aeck 
(Minor  Child) 


ASSETS 

LIABILITIES                                           1 

Cash  on  band  and  in  banks 

U.S.  Govemmeni  securiiies 

Listed  securiiies 

Unlisted  securities 

Accounts  and  notes  receivable: 

Due  from  relaiives.  friends,  others 

Real  estate  owned 
Thirt)  acres  undeveloped  property 
in  Highlands,  North  Carolina      S  60.000 

33V4%  interest  in  two  acre 

residential  lot  in 

Atlanu.  Georgia                         S  40,000 

Real  estate  mongages  receivable 
Aulos  and  other  personal  property 

Cash  value  -  life  insurance 
Other  assets  -  itemize: 
Trust  account  (statemeni  attached) 

Total  assets 

$   500 

Notes  payable  to  banks  -  secured 

$  0 

500 

Notes  payable  to  banks  -  unsecured 

0 

0 

Notes  payable  to  relatives 

0 

0 

Notes  payable  to  others 

0 

0 

Accounts  and  bills  due 

0 

0 

Unpaid  income  tax 

0 

100.000 

Other  unpaid  tax  and  interest 

Real  estate  mongages  payable 

Chattel  mongages  and  other  liens  payable 

Other  debts  -  itemize: 

0 

0 

0 

0 

0 

0 

0 

45,184 

Total  liabilities 

$         0 

Nei  worth 

S146.184 

$146,184 

Total  liabilities  and  net  worth 

SI46.I84 

CONTINGENT  LIABILITIES 

GENERAL  INFORMATION 

As  endorser,  comaker  or  guarantor 

On  leases  or  contracts 

Legal  Claims 

Provision  for  Federal  Income  Tax 

Other  special  debt 

None 

Are  any  assets  pledged?   (Add  schedule) 

No 

None 

Are  you  defendait  in  any  suits  or  legal  actions? 

No 

None 

Have  you  ever  taken  bankruptcy? 

No 

None 

None 

EXHIBIT  5 


300 


E^ 


U  H 


»»& 


,28 


3  >-   Z     . 

(D    u  *•    g  *• 

T>    -•  «    *      — 

—    "^  <J    5   -3 

<•     „  K     •     " 

S  £  ui  Z  U 


8 


3o 
<   o 


a 


.J2  1 
- -0)    ;; 

^  o    s 


3; 
2: 


_      fi 

Z  3 
IT  !»• 

m  2 


£  ?  " 

■o  =  <• 
o  »  " 
"O  -=    ^ 

iii 

•  ^  o 
■•  E  J 

S  i  • 


«     *«     M 

;  o  c 
3  ^  a 


<•  o  c 

■S  ^  i 

•  ■5  s 

■a  U  " 

ah      .    Oi 

=  =i 
=  51 

a  |i 

s  s  ; 
a  5  - 
te  =  ■= 

M     O     ^ 

»  s 

•8  2  o 
5^2 

*S  S 

5  ;  3 

a  u  u 
«  5  -o 

5  ••  *• 


1  8 


o 
u 

|3 
2^ 

o  o 

^9 
o  o 

^    UJ 

(/I  OC 


c 
o 
■a 

re 
ft 


3  -o  ■=  i. 

=  «  =  •»■» 

."  2  -g  =5 

C     O     2  7;  3 

a  5.-0  Is 

t.  c   S  <i 

■Co  — 

?  =  a. 


o   S 

■O  -O    c 


8 


8 


<  > 

>  =:  _ 

Sf? 

^-! 

5  8j 


<  > 

>  a  ^ 

irt  ^  - 

<    (A  ffi 


.1 


I  i  I 


5  ■£  - 

ai  t/>  *« 

1-1 
l^i 

lli 
III 

■"  t;  - 
5  =  = 
.!«"* 

5  o  S 
s  *-  «i 

••"DC 
—     CM 

a  -s  >- 

I  ="  ii 
•S  S  -  - 
1  3  1     ; 


I! 


"I 


o 

s 


3    C 

S3 


301 


UNITED  STATES  SENATE 
Committee  On  The  Judiciary 
Washington,  DC   20510-0275 


I.   BIOGRAPHICAL  INFORMATION  (PUBLIC) 

Full  name  (include  any  former  names  used.) 
Mary  Mona  Lisi 

Address:   List  current  place  of  residence  and  office 
address(es) . 

Home : 

355  Stone  Ridge  Drive 
East  Greenwich,  RI   02818 

Office: 

Office  of  Disciplinary  Counsel 
Fogarty  Judicial  Annex 
24  Weybosset  Street 
Providence,  RI   02903 

Date  and  place  of  birth. 

September  4,  1950 
Providence,  RI 

Martial  Status  (include  maiden  name  of  wife,  or 
husband's  name).   List  spouse's  occupation,  employer's 
name  and  business  address(es). 

Married. 

Stephen  J.  Reid,  Jr.,  Attorney 

Blish  &  Cavanagh 

Commerce  Center 

30  Exchange  Terrace 

Providence,  RI   02903 

Education:   List  each  college  and  law  school  you  have 
attended,  including  dates  of  attendance,  degrees 
received,  and  dates  degrees  were  granted. 

University  of  Rhode  Island 

Kingston,  Rhode  Island 

September,  1968  -  June,  1972      B.A.  1972 


302 


University  of  Rhode  Island 
Kingston,  Rhode  Island 
September,  1973  -  August,  1974 

Course  work  in  Master's  Program. 

No  degree  awarded;  I  left  to  attend 

law  school 


6. 


Temple  University  School  of  Law 

Philadelphia,  Pennsylvania 

August,  1974  -  May,  1977  J.D. 


1977 


National  College  for  Criminal  Defense 

University  of  Houston 

Houston,  Texas 

May,  1980  -  June,  1980 

Certificate  of  Completion  Trial  Practice  I 

6/80 

Employment  Record:   List  (by  year)  all  business  or 
professional  corporations,  companies,  firms,  or  other 
enterprises,  partnership, s  institutions  and 
organizations,  nonprofit  or  otherwise,  including 
firms,  with  which  you  were  connected  as  an  officer, 
director,  partner,  proprietor,  or  employee  since 
graduation  from  college. 


9/72-6/73 


6/73-8/73 


8/73-8/74 


9/74-5/76 


9/75-5/76 


Prout  Memorial  High  School 
Wakefield,  Rhode  Island 
History  Teacher 

Scholastic  International 
New  York  City,  New  York 
Tour  Chaperone 

University  of  Rhode  Island 
Kingston,  Rhode  Island 
Hall  Director 

University  of  Pennsylvania 
Veterinary  Hospital 
Philadelphia,  Pennsylvania 
Receptionist 

Professor  Jerome  Sloan 
Temple  University  School  of  Law 
Philadelphia,  Pennsylvania 
Law  Clerk 


5/76-8/76 


US  Attorney 

Providence,  Rhode  Island 

Law  Clerk 


303 


9/76-5/77 


9/11-10/11 


10/77-7/81 


8/81-10/82 


8/81-10/82 


10/82-12/87 


1/88-10/90 


10/90-present 


US  Attorney 

Philadelphia,  Pennsylvania 

Law  Clerk 

RI  Hospital  Trust  Bank 
Providence,  Rhode  Island 
Paralegal 

Rhode  Island  Public  Defender 
Providence,  Rhode  Island 
Assistant  Public  Defender 

Office  of  the  Child  Advocate 
Providence,  Rhode  Island 
Assistant  Child  Advocate 

Private  Law  Practice 
Providence,  Rhode  Island 

Office  of  the  Court  Appointed  Special 

Advocate 
Rhode  Island  Family  Court 
Providence,  Rhode  Island 
Director 

Office  of  Disciplinary  Counsel 
Rhode  Island  Supreme  Court 
Providence,  Rhode  Island 
Deputy  Disciplinary  Counsel 

Office  of  Disciplinary  Counsel 
Rhode  Island  Supreme  Court 
Providence,  Rhode  Island 
Chief  Disciplinary  Counsel 


Military  Service:   Have  you  had  any  military  service? 
If  so,  give  particulars,  including  the  dates,  branch 
of  service,  rank  or  rate,  serial  number  and  type  of 
discharge  received. 

No. 

Honors  and  Awards:   List  any  scholarships, 
fellowships,  honorary  degrees,  and  honorary  society 
memberships  that  you  believe  would  be  of  interest  to 
the  Committee. 

1986  Named  one  of  the  "Providence  350"  in  recognition 
of  my  activities  as  a  children's  rights  advocate 

1987  Recipient  of  the  "Meritorious  Service  to  the 
Children  of  America  Award"  from  the  National  Counsel 
of  Juvenile  and  Family  Court  Judges 


304 


9.  Bar  Associations:   List  all  bar  associations,  legal  or 
judicial-related  committees  or  conferences  of  which 
you  are  or  have  been  a  member  and  give  the  titles  and 
dates  of  any  offices  which  you  have  held  in  such 
groups. 

American  Bar  Association 

Rhode  Island  Bar  Association 

Rhode  Island  Women's  Bar  Association 

(Vice  President  1988) 
Rhode  Island  Women  Lawyers  Association 

(President  1981) 
National  Court  Appointed  Special  Advocate  Association 

(Treasurer  1984-86;  President  1986-88;  Board  Member 
1988-1992) 
National  Organization  of  Bar  Counsel 

10.  Other  Memberships:   List  all  organizations  to  which 
you  belong  that  are  active  in  lobbying  before  public 
bodies . 

Urban  League  of  Rhode  Island 

Please  list  all  other  organizations  to  which  you 
belong. 

None 

11.  Court  Admission:   List  all  courts  in  which  you  have 
been  admitted  to  practice,  with  dates  of  admission  and 
lapses  if  any  such  memberships  lapsed.   Please  explain 
the  reason  for  any  lapse  of  membership.   Give  the  sae 
information  for  administrative  bodies  which  require 
special  admission  to  practice. 

Rhode  Island*  admitted  10/12/77 

United  States  District  Court,  Rhode  Island 

admitted  11/8/77 

Massachusetts*  admitted  6/9/78 

•Please  note  I  am  listed  as  voluntary  inactive  since  I 
am  prohibited  from  practicing  law  outside  the  office 
of  Disciplinary  Counsel. 

12.  Published  Writings:   List  the  titles,  publishers,  and 
dates  of  books,  articles,  reports,  or  other  published 
material  you  have  written  or  edited.   Please  supply 
one  copy  of  all  published  material  not  readily 
available  to  the  Committee.   Also,  please  supply  a 
copy  of  all  speeches  by  you  on  issues  involving 
constitutional  law  or  legal  policy.   If  there  were 
press  reports  about  the  speech,  and  they  are  readily 
available  to  you,  please  supply  them. 

None. 


« 


305 


13.  Health:   What  is  the  present  state  of  your  health? 
List  the  date  of  your  last  physical  examination. 

Excellent 
January,  1993 

14.  Judicial  Office:   State  (chronologically)  any  judicial 
offices  you  have  held,  whether  such  position  was 
elected  or  appointed,  and  a  description  of  the 
jurisdiction  of  each  such  court. 

None. 

15.  Citations:   If  you  are  or  have  been  a  judge,  provide: 
(1)  citations  for  the  ten  most  significant  opinions 
you  have  written;  (2)  a  short  summary  of  and  citations 
for  all  appellate  opinions  where  your  decisions  were 
reversed  or  where  your  judgment  was  affirmed  with 
significant  criticism  of  your  substantive  or 
procedural  rulings;  and  (3)  citations  for  significant 
opinions  on  federal  or  state  constitutional  issues, 
together  with  the  citation  to  appellate  court  rulings 
on  such  opinions.   If  any  of  the  opinions  listed  were 
not  officially  reported,  please  provide  copies  of  the 
opinions . 

N/A 

L6.   Public  Office:   State  (chronologically)  any  public 
offices  you  have  held,  other  than  judicial  offices, 
including  the  terms  of  service  and  whether  such 
positions  were  elected  or  appointed.   State 
(chronologically)  any  unsuccessful  candidacies  for 
elective  public  office. 

Yes.   In  February,  1991,  I  was  appointed  by  Governor 
Bruce  Sundlun  to  serve  on  the  Select  Commission  to 
Investigate  the  Failure  of  RISDIC  ("Commission").   The 
Commission  was  created  by  an  act  of  the  RI 
Legislature.   Its  purpose  was  to  investigate  the 
failure  of  the  private  insurer  of  credit  union  and 
bank  deposits  which  result  din  the  closure  of  45 
financial  institutions  by  the  Governor.   The 
Commission  had  subpoena  power,  held  confidential 
investigative  depositions,  and  televised  public 
hearings.   I  served  on  the  Commission  from  February, 
1991  until  December,  1992  when  we  issued  our  final 
report.   I  served  on  the  Commission  without 
compensation. 


306 


17.   Legal  Career: 


b. 


Describe  chronologically  your  law  practice  and 
experience  after  graduation  from  law  school 
including: 

1.  whether  you  served  as  clerk  to  a  judge,  and  if 
so,  the  name  of  the  judge,  the  court,  and  the 
dates  of  the  period  you  were  a  clerk;  No 

2.  whether  you  practiced  alone,  and  if  so,  the 
addresses  and  dates; 

3.  the  dates,  names  and  addresses  of  law  firms  or 
offices,  companies  or  governmental  agencies 
with  which  you  have  been  connected,  and  the 
nature  of  your  connection  with  each; 

1.  What  has  been  the  general  character  of  your 
law  practice,  dividing  it  into  periods  with 
dates  if  its  character  has  changed  over  the 
years? 

2.  Describe  your  typical  former  clients,  and 
mention  the  areas,  if  any  in  which  you  have 
specialized. 


October,  1977  -  July,  1981 


Rhode  Island  Public 

Defender 
100  North  Main  Street 
Providence,  RI   02903 


From  October,  1977  to  March,  1980,  I  was  an  Assistant 
Public  Defender  assigned  to  the  Juvenile  Division.   I 
represented  indigent  juvenile  offenders  in  delinquency 
actions  and  indigent  adult  offenders  charged  with 
civil  child  abuse  and  neglect.   From  March,  1980  to 
July,  1981,  I  was  supervising  attorney  of  the  Juvenile 
Division.   In  addition  to  maintaining  a  full  caseload, 
I  supervised  four  attorneys,  two  clerical  workers,  and 
an  investigator. 

August,  1981  -  October,  1982     Assistant  Child 

Advocate  (part-time) 
Office  of  the  Child 

Advocate 
260  West  Exchange  Street 
Providence,  RI 

I  was  responsible  for  reviewing  placements  of  children 
in  the  care  of  the  Department  for  Children  and  Their 
Families,  and  representing  the  Child  Advocate  before 
the  Family  Court.   I  left  the  Child  Advocate's  office 
when  I  was  appointed  Director  of  the  CASA  program. 


307 


August,  1981  -  October,  1982      Private  Practice 

My  practice  consisted  primarily  of  guardianships  in 
domestic  relations  cases  before  the  Family  Court. 

Office  Address: 
27  Prudence  Avenue 
Providence,  RI 

October,  1982  -  December,  1987   Director 

Court  Appointed 

Special  Advocate 

Program 
Rhode  Island  Family 

Court 
One  Dorrance  Plaza 
Providence,  RI   02903 

I  had  full  administrative  responsibility  for  the  CASA 
Program.   I  supervised  a  staff  of  five  attorneys, 
three  social  workers,  three  coordinators,  and  four 
secretaries.   I  also  recruited  and  trained  more  than 
200  volunteer  CASAs  who  together  with  our  professional 
staff  represented  the  best  interests  of  abused  and 
neglected  children  before  the  Family  Court.   I 
maintained  a  case  load  which  required  frequent 
appearances  before  the  Rhode  Island  Family  Court. 

January,  1988  -  October,  1990     Deputy  Disciplinary 

Counsel 
Rhode  Island  Supreme 

Court 
250  Benefit  Street 
Providence,  RI  02903 

I  was  responsible  for  the  investigation  and 
presentation  of  complaints  to  the  Disciplinary  Board. 
I  also  prosecuted  several  formal  matters  before  the 
Board.   In  September,  1989,  upon  the  resignation  of 
former  Judge  Fuyat,  and  at  the  direction  of  the  Chief 
Justice,  I  conducted  the  investigation  of  Judge 
Fuyat 's  borrowing  money  from  attorneys  who  appeared 
before  him.   I  drafted  the  petitions  for  formal 
disciplinary  action,  prepared  memoranda,  and  tried 
each  of  the  30  cases  presented  to  the  Disciplinary 
Board  and  the  Rhode  Island  Supreme  Court. 


308 


October,  1990  -  present  Chief  Disciplinary 

Counsel 
RI  Supreme  Court 
24  Weybosset  Street 
Providence,  RI  02903 

I  have  full  administrative  responsibility  for  the 
Office  of  Disciplinary  Counsel.   I  supervise  four 
attorneys,  a  confidential  investigator,  and  four 
secretaries.   I  continue  to  try  formal  disciplinary 
matters  before  the  Board  and  to  present  cases  before 
the  Supreme  Court. 

c.    1.  Did  you  appear  in  court  frequently, 

occasionally,  or  not  at  all?   If  the  frequency 
of  your  appearances  in  court  varied,  describe 
each  such  variance,  giving  dates. 

Frequently 

2.  What  percentage  of  these  appearances  was  in: 

(a)  federal  courts 
0% 

(b)  state  courts  of  record; 
100% 

(c)  other  courts 
0% 

3.  What  percentage  of  your  litigation  was: 

(a)   civil 

1977-81         30% 
1981-present   100% 


(b)   criminal 
1977-81 


70% 


309 


4.  State  the  number  of  cases  in  courts  of  record 
you  tried  to  verdict  or  judgment  (rather  than 
settled),  indicating  whether  you  were  sole 
counsel,  chief  counsel,  or  associate  counsel. 

From  October,  1977  through  July,  1981,  I 
served  as  an  Assistant  Public  Defender.   My 
caseload  included  status  offenses, 
misdemeanors,  felonies,  and  civil  child  abuse 
and  neglect  cases.   I  conservatively  estimate 
that  I  tried  at  least  100  cases  to  conclusion, 
including  a  first  degree  murder  case.   With 
the  exception  of  the  murder  trial,  I  was  sole 
counsel. 

From  October,  1982  through  December,  1987,  I 
represented  abused  and  neglected  children  in 
trials  and  review  hearings  before  the  RI 
Family  Court.   My  representation  in  those 
cases  was  as  a  guardian  ad  litem.   In  that 
capacity,  I  participated  fully  in  trial, 
conducting  direct  and  cross-examination  of 
witnesses.   Again,  in  this  capacity  I 
conservatively  estimate  having  participated  in 
at  least  50  trials  as  sole  counsel. 

From  1988  to  the  present,  I  have  tried 
approximately  40  attorney  discipline  cases 
before  the  Rhode  Island  Supreme  Court 
Disciplinary  Board.   (Board)   The  Board  is  an 
administrative  adjudicative  body.   Contested 
matters  are  tried  in  accordance  with  the 
Board's  Rules  of  Procedure  and  the  Rhode 
Island  Rules  of  Evidence.   In  addition,  I 
appear  before  the  Rhode  Island  Supreme  Court 
on  a  regular  basis  at  disciplinary  show  cause 
hearings . 

5.  What  percentage  of  these  trials  was: 

(a)  jury 
0% 

(b)  non-jury 
100% 


310 


18.   Litigation:   Describe  the  ten  most  significant 

litigated  matters  which  you  personally  handled.   Give 
the  citations,  if  the  cases  were  reported,  and  the 
docket  number  and  date  if  unreported.   Give  a  capsule 
summary  of  the  substance  of  each  case.   Identify  the 
party  or  parties  whom  you  represented;  describe  in 
detail  the  nature  of  your  participation  in  the 
litigation  and  the  final  disposition  of  the  case. 
Also  state  as  to  each  case: 

(a)  the  date  of  representation; 

(b)  the  name  of  the  court  and  the  name  of  the  judge 
or  judges  before  whom  the  case  was  litigated;  and 

(c)  The  individual  name,  addresses,  and  telephone 
numbers  of  co-counsel  and  of  principal  counsel 
for  each  of  the  other  parties. 

1)    Carter  v.  Kritz  560  A2d  360  (RI  1989) 

Kritz  is  an  attorney  misconduct  case.   The  case  is 
significant  because  it  is  the  first  case  in  RI  brought 
against  an  attorney  for  sexual  misconduct  with  his 
clients.   I  prosecuted  this  case  for  the  office  of 
Disciplinary  counsel.   I  interviewed  each  of  the 
victims  and  prepared  them  to  testify.   On  the  day  of 
the  hearing,  Mr.  Kritz  admitted  all  factual 
allegations  and  rule  violations.   The  Board  found  that 
Mr.  Kritz  had  used  his  position  as  an  attorney  to  take 
advantage  of  his  clients  and  recommended  that  he  be 
suspended  from  the  practice  of  law  for  not  less  than 
one  year.   The  Supreme  Court  concurred. 

Dates  of  trial:   11/8/88;  1/18/89;  3/6/89 

Judge:   This  case  was  tried  before  a  three-member 
panel  of  the  RI  Supreme  Court  Disciplinary 
Board.   The  panel  members  were:   Marifrances 
McGinn,  Esquire,  Robert  Kilmarx,  Esquire,  and 
N.  Jameson  Chace,  Esq. 

Co-counsel:   None 

Respondent's  counsel:   William  A.  Dimitri,  Jr.,  Esq. 

733  Douglas  Avenue 
Providence,  RI   02908 
(401)  273-9092 


10 


311 


2)    Carter  v.  Peotrowski  568  A2d  1032  (RI  1990) 

Upon  my  appointment  as  Deputy  Disciplinary  Counsel,  I 
was  assigned  to  conduct  an  investigation  of  Mr. 
Peotrowski 's  fitness  to  practice  law  in  conjunction 
with  his  Petition  for  Reinstatement.   Mr.  Peotrowski 
had  been  disbarred  in  1982  and  had  served  a  prison 
term  for  obtaining  money  under  false  pretenses  and 
forgery.   My  investigation  revealed  that  Mr. 
Peotrowski  had,  since  his  disbarment,  engaged  in  the 
unlawful  practice  of  law,  had  used  the  name  of  a 
fictitious  or  deceased  person  who  was  purported  to 
have  given  him  powers  of  attorney  in  connection  with 
several  petitions  filed  in  the  Courts,  and  he  had 
misrepresented  facts  to  the  courts.   I  presented  all 
of  this  information  to  the  Board  during  a  three  day 
trial.   In  addition,  I  tried  three  other  petitions 
alleging  misconduct  which  had  remained  in  a  pending 
status  since  the  order  of  disbarment  entered.   The 
Board  found  that  Mr.  Peotrowski 's  readmission  would  be 
detrimental  to  the  integrity  of  the  bar  and  to  the 
public  interest.   In  its  recommendation  to  the  Court, 
the  Board  advised  that  not  only  should  the  Petition 
for  reinstatement  be  denied,  but  that  Mr.  Peotrowski 
never  be  allowed  to  practice  law  again.   The  Court 
denied  the  Petition  for  Reinstatement. 

This  case  is  significant  because  it  sets  forth  the 
standard  for  readmission  after  disbarment.   As  a 
result  of  my  work  on  this  case,  I  developed  a 
Reinstatement  Protocol  for  the  office  of  Disciplinary 
Counsel.   The  Protocol  is  used  in  every  reinstatement 
case  to  insure  a  thorough,  uniform  investigation  and 
report. 

Dates  of  trial:   3/16/89;  4/5/89;  4/20/89 

Disciplinary  Board  Members:  Ralph  P.  Semonoff 

(deceased) 
N.  Jameson  Chace,  Esq. 
James  V.  Aukerman,  Esq. 

Co-counsel:   None 

Respondent's  Counsel:   John  H.  Ruginski,  Jr.,  Esq. 

1  Park  Row 

Providence,  RI   02903 
(401)  272-7966 


11 


312 


3)    Lisi  V.  Hines  610  A2d  113  (RI  1992) 

This  is  an  attorney  discipline  case.   Mr.  Hines  was 
under  suspension  at  the  time  of  the  trial  of  this 
matter.   In  this  case,  Mr.  Hines  had  failed  to  turned 
over  to  his  client  $10,000  which  he  was  holding  in 
escrow.   Mr.  Hines  admitted  that  he  had  converted  the 
money  to  his  own  use.   Mr.  Hines  did  make  restitution 
prior  to  the  trial.   I  argued  that  the  proper  sanction 
should  be  disbarment,  especially  in  view  of  the  fact 
that  Mr.  Hines  was  currently  under  suspension  for  two 
other  findings  of  misconduct.   The  Board  and  the  court 
agreed.   Mr.  Hines  remains  disbarred. 

Dates  of  trial:   7/16/91 

Disciplinary  Board  Members:   Carol  A.  Zangari,  Esq. 

Diane  Finkle,  Esq. 
R.  Kelly  Sheridan,  Esq. 


Co-counsel:   None 


Respondent's  Counsel:   Mr.  Hines  was  pro  se.   Current 

address  and  phone  number  are 
unknown. 


12 


313 


4)    In  Re  Crystal.  Joshua  and  Jacqueline  A.  448  A2d  1226 
(RI  1982) 

This  case  was  a  civil  child  dependency  case  based  on 
the  mother's  psychiatric  condition.   The  trial  Judge 
found  no  evidence  of  abuse  or  neglect  but  did  find 
that  the  children  were  dependent.   The  basis  of  the 
Judge's  finding  was  that  the  mother  had  had  a  history 
of  mental  disorder  and  that  there  was  a  great 
possibility  that  she  would  have  another  psychotic 
episode.   A  psychiatrist  testified  that  the  mother 
could  not  adequately  care  for  her  children  while  she 
experienced  such  episodes. 

I  represented  the  mother  in  this  case.   The  trial 
Judge  found  that  there  was  a  "strong  possibility"  that 
the  children  would  suffer  physical  and  mental  harm  if 
returned  to  the  mother  even  though  he  agreed  that  the 
mother  had  made  progress,  that  she  was  trying  to 
improve  the  situation,  and  that  she  had  enlisted  the 
assistance  of  her  own  father  to  care  for  the  children. 

On  appeal,  the  Supreme  court  affirmed  the  trial 
Judge's  finding.   This  case  refined  the  standard  in 
dependency  cases  of  what  constitutes  evidence  that  the 
child  is  "likely  to  suffer  physical  and/or  emotional 
harm. " 

Dates  of  trial:   July,  1980 

Judge  and  Court:   Hon.  Robert  G.  Crouchley,  RI  Family 

Court  (Ret.) 

Co-Counsel:   None 

Counsel  for  the  State:   Thomas  M.  Bohan 

Department  for  Children  Youth  & 

Family 
610  Mount  Pleasant  Avenue 
Providence,  RI 
(401)  457-4718 


13 


314 


5)    Tn  Re  Francis  J  456  A2d  1174  (RI  1983) 

Francis  was  17  years  old  at  the  time  she  was  charged 
with  first  degree  murder.   Because  of  her  age,  she  was 
tried  in  the  RI  Family  Court  as  a  juvenile.   Francis 
was  alleged  to  have  stabbed  to  death  a  woman  outside 
the  door  of  Francis'  apartment.   Francis  gave  a 
statement  to  the  police  admitting  that  she  had  stabbed 
the  decedent.   At  trial,  Francis  testified  that 
another  person  stabbed  the  woman  and  that  individual 
had  asked  Francis  to  assume  responsibility  because  she 
would  be  treated  less  harshly  as  a  juvenile  than  the 
other  person  would  be   as  an  adult. 

The  trial  Judge  did  not  find  Francis  credible.   He 
adjudicated  her  delinquent  by  reason  of  an  act  that 
would  have  constituted  murder  if  committed  by  an 
adult.   Francis  was  sentenced  to  the  Training  School 
until  her  21st  birthday. 

A  significant  issue  we  raised  in  this  case  was  whether 
Francis'  confession  should  be  suppressed  on  the 
grounds  that  she  had  not  had  an  opportunity  to  consult 
with  her  mother  in  private  before  giving  her  statement 
to  the  police.   The  Supreme  Court  held  that  the 
confession  was  admissible  and  denied  the  appeal. 

I  and  another  assistant  public  defender  worked  on  this 
case.   During  trial,  I  conducted  the  direct 
examination  of  Francis. 

Date  of  trial:   10/79 

Judge  and  Court:   Hon.  Edward  P.  Gallogly  (Ret) 

RI  Family  Court 

Co-counsel:       John  E.  Farley,  Esq. 

Assistant  Attorney  General 
72  Pine  Street 
Providence,  RI   02903 
(401)  277-2424 

Prosecutor:       Edward  DiPippo 

422  Broadway 
Providence,  RI 
(401)  861-5500 


14 


315 


The  following  five  cases  were  tried  separately  before  the 
RI  Supreme  Court  Disciplinary  Board  and  presented 
separately  before  the  RI  Supreme  Court.   The  Court  opinion 
consolidates  them  along  with  several  others  that  I  also 
tried  under  the  caption  Lisi  v.  Several  Attorneys  596  A2d 
313  (RI  1991) .   I  had  been  assigned  full  responsibility  for 
investigation,  preparation  of  charges  of  formal 
disciplinary  action,  trial,  memoranda,  and  presentation  to 
the  RI  Supreme  Court  of  the  matters  reported  in  Lisi  v. 
Several  Attorneys.   These  were  cases  of  first  impression  in 
Rhode  Island.   The  Court  found  that  the  attorneys  had 
prejudiced  the  administration  of  justice  by  loaning  money 
to  a  Family  Court  Judge  before  whom  they  appeared.   The 
Judge  was  removed  from  the  bench  and  disbarred  before  the 
trials  of  these  matters  took  place. 

6)    In  the  Matter  of  Gordon  &  Levitt.   See  Lisi  v.  Several 
Attorneys.  596  A2d  313  (RT  1991)   Gordon  and  Levitt 
were  partners  in  a  law  firm.   Gordon  practiced  before 
the  RI  Family  Court  on  a  regular  basis.   From  10/88  to 
7/89,  he  was  attorney  of  record  and  trial  counsel  in 
seventeen  domestic  relations  cases  which  appeared  on 
the  calendar  of  then  Family  Court  Judge  Fuyat. 
Included  among  those  seventeen  cases  was  a  hotly 
contested  matter,  the  trial  of  which  took  24  days. 
One  of  the  issues  before  the  Judge  was  Gordon's 
petition  for  attorneys'  fees  totalling  approximately 
$120,000.   Five  days  before  the  trial  started,  Gordon 
met  privately  with  the  Judge  and  agreed  to  give  the 
Judge  a  $4,000  check  drawn  on  his  firm  client's 
account  in  exchange  for  the  Judge's  post-dated  check. 
While  the  trial  was  in  progress,  the  Judge  asked 
Gordon  if  his  firm  would  represent  Fuyat  with  regard 
to  a  pending  refinance  of  the  Judge's  home.   Gordon 
agreed  and  directed  the  Judge  to  call  his  partner, 
Levitt.   Levitt  spoke  with  the  Judge  and  agreed  to 
represent  him.   A  few  days  later,  however,  the  Judge 
called  to  say  that  the  financing  had  been  delayed. 
The  Judge  inquired  if  Levitt  could  arrange  a  "bridge 
loan".   Levitt  then  arranged  a  loan  of  $20,000,  using 
funds  of  a  real  estate  business  in  which  he,  Gordon, 
and  other  non-attorneys  were  partners.   Levitt  was 
aware  of  Gordon's  trial  before  Fuyat  and  the  petition 
for  attorneys*  fees.   Neither  Gordon  or  Levitt 
informed  opposing  counsel  of  their  financial  dealings 
with  the  Judge.   The  Judge  was  removed  from  the  bench 
prior  to  rendering  a  decision  in  the  case. 

I  prosecuted  this  case  for  the  Office  of  Disciplinary 
Counsel.   Mr.  Gordon  was  suspended  for  a  period  of  one 
year.   Mr.  Levitt  was  suspended  for  period  of  six 
months. 

Trial  dates:   1/8/91 

15 


316 


Disciplinary  Board  Members: 


Hon.  William  C.  Hillman 

(now  U.S.  Bankruptcy  Court 

Boston) 

Lester  Salter,  Esq. 

E.  Rowland  Bowen,  Esq. 


Respondent's  counsel:   Gordon; 


John  A.  Tramonti,  Jr. 
808  Hospital  Trust  Bldg, 
Providence,  RI   02903 
(401)  751-5433 


Levitt;   Stephen  J.  Fortuanto 
The  Summit  East 
Suite  #310 

300  Centerville  Road 
Warwick,  RI   02886 
(401)  737-7200 

7)    In  the  Matter  of  Chace  &  Forte  See  Lisi  vs.  Several 


Attorneys.  596  A2d 
before  a  specially 
Disciplinary  Board 
assigned  by  the  RI 
served  as  a  member 


313  (RI  1991)  This  case  was  tried 
constituted  panel  of  former 
members.   The  special  panel  was 
Supreme  Court  because  Mr.  Chace  had 
and  as  Chairman  of  the  Disciplinary 
Board  during  the  investigation  and  at  the  time  of  the 
commission  of  the  acts  under  investigation  by  the 
office  of  Disciplinary  Counsel   Judge  Forte  is  and  was 
at  the  time  of  the  hearing  a  Family  Court  Judge.   He 
had  previously  been  Chace 's  law  partner. 

Prior  to  Forte's  appointment  to  the  bench,  he  was 
responsible  for  the  firm's  domestic  relations 
practice.   While  he  had  cases  pending  before  Fuyat,  he 
agreed  to  arrange  a  loan  for  the  Judge.   The  source  of 
the  loan  was  Chace' s  family  business.   Neither  Chace 
nor  Forte  advised  opposing  counsel  of  the  loan. 
Shortly  after  arranging  the  loan.  Forte  agreed  to  make 
an  investment  with  Fuyat  in  a  real  estate  venture. 
Forte  gave  Fuyat  a  check  for  $20,000  as  his  share  in 
the  purported  investment.   Again,  Forte  did  not  advise 
opposing  counsel  of  this  arrangement. 


Chace  was  suspended  for  a  period  of  30  days 
was  publicly  censured. 


Forte 


Dates  of  trial 


11/2/90 


Disciplinary  Board  Members: 


Co-counsel 


None 


Hon.  William  C.  Hillman 

(now  U.S.  Bankruptcy  Court 

Boston) 

Lester  H.  Salter,  Esq. 

Charles  H.  Anderson,  Esq. 


16 


Respondent's  counsel 


317 


Joseph  A.  Kelly,  Esq. 
155  South  Main  Street 
Providence,  RI  02903 
(401)  331-7272 


8)    In  the  Matter  of  Toro.   See  LJSi  vs .  Several 

Attorneys.  596  A2d  313  (RI  1991)  Mr.  Toro  made  three 

five  thousand  dollar  loans  to  former  Judge  Fuyat 

between  10/87  and  12/88.   Throughout  that  period  of 
time,  Toro  continued  to  appear  before  the  Judge,  but 

he  never  advised  opposing  counsel  of  his  loans  to  the 
Judge. 

Mr.  Toro  was  publicly  censured. 

Date  of  trial:   10/30/90 


Disciplinary  Board  Members 


Hon. 

Edward 

C. 

Clifton 

(now 

Judge, 

RI 

District 

Cour 

t) 

Mari 

f ranees 

McGinn,  Esq. 

Mari 

lyn  Shannon-McConaghy, 

Es 

q. 

Co-counsel : 


None 


Respondent's  counsel: 


9) 


Joseph  A.  Kelly,  Esq. 
155  South  Main  Street 
Providence,  RI  02903 
(401)  331-7272 


In  the  Matter  of  Comolli.   See  Ljgi  vjSt  Several 
Attorneys.  596  A2d  313  (RI  1991)  Mr.  Comolli  made 
three  loans  to  former  Judge  Fuyat  totalling  $15,000. 
The  first  loan  was  made  in  the  Judge's  chambers  at  the 
conclusion  of  several  matters  Mr.  Comolli  had  handled 
for  the  Bureau  of  Family  Support.   Mr.  Comolli 
admitted  that  at  the  time  he  made  that  loan  he  could 
foresee  that  he  would  appear  before  Fuyat  on  a 
contested  matter  at  some  point  in  the  future.   Even 
though  Mr.  Comolli  had  been  told  by  a  senior  partner 
that  the  first  loan  was  "incorrect",  Mr.  Comolli  made 
two  more  loans. 

Mr.  Comolli  was  suspended  for  30  days. 

Date  of  trial:   11/15/90 

Disciplinary  Board  Members:   Ralph  P.  Semonoff 

(deceased) 

Carol  A.  Zangari,  Esq. 
E.  Howland  Bowen,  Esq. 

Co-counsel:   None 


17 


318 


Respondent's  counsel:   Thomas  J.  Liguori,  Esq. 

P.O.  Box  1277 
855  Beach  Street 
Westerly,  RI   02891 
(401)  596-7751 

10)   In  the  Matter  of  Newman.   See  Lisi  vs.  Several 

Attorneys.  596  A2d  313  (RI  1991)  Mr.  Nevnnan  made  an 
$8,500  loan  to  Judge  Fuyat  which  was  never  repaid. 
During  the  time  the  loan  remained  outstanding,  Mr. 
Newman  had  approximately  80  cases  on  Judge  Fuyat 's 
calendar.   Mr.  Newman  never  asked  the  Judge  for 
repayment  nor  did  he  advise  opposing  counsel  of  his 
loan  to  the  Judge. 

Mr.  Newman  was  publicly  censured. 

Date  of  trial:   10/18/90 

Disciplinary  Board  Members:   George  Salem,  Esq. 

E.  Howland  Bowen,  Esq. 
Carol  A.  Zangari,  Esq. 

Co-counsel:   None 

Respondent's  counsel:   Thomas  J.  Liguori,  Esq. 

P.O.  Box  1277 
855  Beach  Street 
Westerly,  RI   02891 
(401)  596-7751 

19.   Legal  Activities:   Describe  the  most  significant  legal 
activities  you  have  pursued,  including  significant 
litigation  which  did  not  progress  to  trial  or  legal 
matters  that  did  not  involve  litigation.   Describe  the 
nature  of  your  participation  in  this  question,   please 
omit  any  information  protected  by  the  attorney-client 
privilege  (unless  the  privilege  has  been  waived.) 

In  1992,  the  RI  Supreme  Court  voted  to  adopt  the 
recommendations  of  the  RI  Supreme  Court  Ethics  Task 
Force  as  those  recommendations  related  to  attorney 
disciplinary  procedure.   I  appeared  before  the  Task 
Force  and  the  Court  to  advocate  adoption  of  most  of 
the  ABA'S  McKay  Commission  recommendations.   The  Court 
did  promulgate  new  rules  which  bring  Rhode  Island  in 
substantial  conformity  with  the  recommendations  of  the 
ABA.   In  particular,  the  rules  now  require  the 
participation  of  non-attorney  members  of  the 
Disciplinary  Board  and  publication  of  formal  charges 
of  misconduct  upon  a  finding  of  probable  cause  by  the 
Board.   I  drafted  the  rule  amendments  at  the  request 
of  the  Court. 


18 


319 

II.   FINANCIAL  DATA  AND  CONFLICT  OF  INTEREST  (PUBLIC) 


List  sources,  amounts  and  dates  of  all  anticipated 
receipts  from  deferred  income  arrangements,  stock, 
options,  uncompleted  contracts  and  other  future 
benefits  which  you  expect  to  derive  from  previous 
business  relationships,  professional  services,  firm 
memberships,  former  employers,  clients,  or  customers. 
Please  describe  the  arrangement  you  have  made  to  be 
compensated  in  the  future  for  any  financial  or 
business  interest. 

Rhode  Island  State  Employers  Retirement  Fund    $47,197 
Lincoln  National  Life  Insurance  Company  Deferred 

Compensation  $11,757 

The  amounts  reported  represent  my  contribution  to  the 
funds . 

I  intend  to  remove  the  funds  from  the  Rhode  Island 
State  Employees  Retirement  Fund  upon  my  resignation 
from  state  service.   Those  funds  will  be  re-invested 
in  a  qualified  retirement  plan. 

I  do  not  anticipate  receipt  of  the  Lincoln  National 
funds  until  retirement. 

Explain  how  you  will  resolve  any  potential  conflict  of 
interest,  including  the  procedure  you  will  follow  in 
determining  these  areas  of  concern.   Identify  the 
categories  of  litigation  and  financial  arrangements 
that  are  likely  to  present  potential 
conf licts-of-interest  during  your  initial  service  in 
the  position  to  which  you  have  been  nominated. 

I  will  recuse  myself  from  any  involvement  in  matters 
where  my  husband's  law  firm  has  any  interest  and/or 
participation. 

I  intend  to  follow  the  mandates  of  the  Code  of 
Judicial  Conduct  in  any  situation  likely  to  present 
any  potential  conflict  of  interest. 

Do  you  have  any  plans,  commitments,  or  agreements  to 
pursue  outside  employment,  with  or  without 
compensation,  during  your  service  with  the  court?   If 
so,  explain. 

No. 


19 


320 


List  sources  and  amounts  of  all  income  received  during 
the  calendar  year  preceding  your  nomination  and  for 
the  current  calendar  year,  including  all  salaries, 
fees,  dividends,  interest,  gifts,  rents,  royalties, 
patents,  honoraria,  and  other  items  exceeding  $500  or 
more  (If  you  prefer  to  do  so,  copies  of  the  financial 
disclosure  report,  required  by  the  Ethics  in 
Government  Act  of  1978,  may  be  substituted  here.) 

Copy  of  Financial  Disclosure  Report  attached. 

Please  complete  the  attached  financial  net  worth 
statement  in  detail  (Add  schedules  as  called  for). 

Attached 

Have  you  ever  held  a  position  or  played  a  role  in  a 
political  campaign?   If  so,  please  identify  the 
particulars  of  the  campaign,  including  the  candidate, 
dates  of  the  campaign,  your  title  and  responsibilities 

No 


20 


321 

III.   GENERAL  (PUBLIC) 


An  ethical  consideration  under  Canon  2  of  the  American 
Bar  Association's  Code  of  Professional  Responsibility 
calls  for  "every  lawyer,  regardless  of  professional 
prominence  or  professional  workload,  to  find  some  time 
to  participate  in  serving  the  disadvantaged." 
Describe  what  you  have  done  to  fulfill  these 
responsibilities,  listing  specific  instances  and  the 
amount  of  time  devoted  to  each. 

While  still  in  law  school,  I  volunteered  with  the 
Defender  Association  of  Philadelphia  to  work  with 
indigent  juvenile  offenders. 

In  1984,  I  was  elected  Treasurer  of  the  National  Court 
Appointed  Special  Advocate  Association.   After  serving 
two  years  as  Treasurer,  I  was  elected  to  a  two  year 
term  as  President.   I  went  on  to  serve  four  more  years 
as  a  director  of  the  Association.   The  National  CASA 
Association  is  a  non-profit  membership  organization 
dedicated  to  providing  abused  and  neglected  children 
with  trained  volunteer  advocates  in  the  Juvenile  and 
Family  Courts  throughout  the  United  States.   The 
Association  has  been  recognized  by  the  White  House 
(1986  recipient  of  the  "President's  Volunteer 
Recognition  Award")  and  child  advocacy  organizations 
for  the  excellent  work  it  does.   As  an  officer  and 
director  of  the  Association,  I  participated  in  setting 
policy  and  direction  and  represented  the  Association 
at  numerous  national  and  local  conferences.   I 
continue  to  donate  time  to  the  Association  on  an  as 
needed  basis. 

From  1987  to  1990,  I  served  as  a  member  of  the  Board 
of  Directors  of  the  Urban  League  of  Rhode  Island. 

From  1988  to  1991,  I  served  as  a  Volunteer  Judge  in 
the  Mock  Trial  Competition  for  junior  and  senior  high 
schools  sponsored  by  the  Rhode  Island  Legal/Education 
Partnership. 

From  1989  to  1991,  I  served  as  a  member  of  the  Board 
of  Directors  of  the  Ocean  State  Adoption  Resource 
Exchange. 

In  addition  to  the  volunteer  activities  listed  above, 
my  entire  professional  career  has  been  dedicated  to 
public  service. 


21 


322 


The  American  Bar  Association's  Commentary  to  its  Code 
of  Judicial  Conduct  states  that  it  is  inapproprate  for 
a  judge  to  hold  membership  in  any  organization  that 
invidiously  discriminates  on  the  basis  of  race,  sex, 
or  religion.   Do  you  currently  belong,  or  have  you 
belonged,  to  any  organization  which  discriminates  — 
through  either  formal  membership  requirements  or  the 
practical  implementation  of  membership  policies?   If 
so,  list,  with  dates  of  membership.   What  you  have 
done  to  try  to  change  these  policies? 

From  1989  to  August,  1993,  my  husband  and  I  held  a 
family  membership  at  Potowomut  Golf  Club  in  East 
Greenwich,  RI .   The  club  does  not  restrict  or  exclude 
membership  on  the  basis  of  race,  sex,  or  religion; 
however,  there  were  rules  and  policies  which 
disparately  affected  female  members.   Specifically, 
women  were  excluded  from  one  of  the  grille  rooms  and 
women  had  restricted  access  to  tee  times.   Prior  to  my 
resignation  in  August,  1993,  the  club  had  taken 
several  steps  to  address  and  remedy  the  situation. 

In  June  of  1993,  I  wrote  to  the  Board  of  Governors 
urging  them  to  take  action  to  eliminate  the 
discriminatory  policies  described  above.   In  July  of 
1993,  I  appeared  before  the  Board  and  reiterated  my 
objection  to  those  policies  and  asked  that  the  Board 
adopt  the  recommendations  to  eliminate  inequitites  in 
membership  which  had  been  developed  by  the  Long  Range 
Planning  Committee.   In  August  of  1993,  my  husband  and 
I  resigned  from  the  club. 

Shortly  after  our  resignation  from  membership,  the 
Board  adopted  a  resolution  to  open  the  grille  room  to 
all  members.   The  Board  also  voted  to  recommend  to  the 
membership  that  changes  be  made  in  the  club  by-laws  to 
eliminate  gender  based  access  to  tee  times.   The 
membership  ratified  those  by-laws  changes  at  the 
annual  meeting  held  on  January  27,  1994. 

Is  there  a  selection  commission  in  your  jurisdiction 
to  recommend  candidates  for  nomination  to  the  federal 
courts?   If  so,  did  it  recommend  your  nomination? 
Please  describe  your  experience  in  the  entire  judicial 
selection  process,  from  beginning  to  end  (including 
the  circumstances  which  led  to  your  nomination  and 
interviews  in  which  you  participated) . 

There  is  no  selection  commission  in  my  jurisdiction. 
In  March,  1993,  I  wrote  to  Senator  Claiborne  Pell  to 
express  my  interest  in  appointment  to  the  U.S. 
District  Court.   I  met  with  Senator  Pell  and  his 
staff.   We  discussed  my  educational  background,  trial 
experience,  and  administrative  experiences.   I  had  a 
second  interview  with  Senator  Pell  and  his  staff  where 

22 


323 


we  discussed  my  qualifications  in  greater  detail.   I 
provided  Senator  Pell  with  the  names  of  individuals 
who  are  knowledgeable  about  my  legal  ability  and  my 
integrity. 

After  Senator  Pell  recommended  my  nomination  to  the 
President,  I  was  interviewed  by  agents  of  the  FBI  and 
staff  from  the  United  States  Department  of  Justice.   I 
was  also  interviewed  by  members  of  the  ABA  Standing 
Committee  on  the  Federal  Judiciary. 

Has  anyone  involved  in  the  process  of  selecting  you  as 
a  judicial  nominee  discussed  with  you  any  specific 
case,  legal  issue  or  question  in  a  manner  that  could 
reasonably  be  interpreted  as  asking  how  you  would  rule 
on  such  case,  issue,  or  question?   If  so,  please 
explain  fully. 

No. 

Please  discuss  your  views  on  the  following  criticism 
involving  "judicial  activism." 

The  role  of  the  Federal  judiciary  within  the  Federal 
government,  and  within  society  generally,  has  become 
the  subject  of  increasing  controversy  in  recent 
years.  It  has  become  the  target  of  both  popular  and 
academic  criticism  that  alleges  that  the  judicial 
branch  has  usurped  many  of  the  prerogatives  of  other 
branches  and  levels  of  government. 

Some  of  the  characteristics  of  this  "judicial 
activism"  have  been  said  to  include: 

a.  A  tendency  by  the  judiciary  toward 
problem-solution  rather  than  grievance-resolution; 

b.  A  tendency  by  the  judiciary  to  employ  the 
individual  plaintiff  as  a  vehicle  for  the 
imposition  of  far-reaching  orders  extending  to 
broad  classes  of  individuals; 

c.  A  tendency  by  the  judiciary  to  impose  broad 
affirmative  duties  upon  governments  and  society; 

d.  A  tendency  by  the  judiciary  toward  loosening 
jurisdictional  requirements  such  as  standing  and 
ripeness;  and 

e.  A  tendency  by  the  judiciary  to  impose  itself  upon 
other  institutions  in  the  manner  of  an 
administrator  with  continuing  oversight 
responsibilities . 


23 


324 


The  federal  judiciary  must  look  to  Article  III  of  the 
United  States  Constitution  and  the  acts  of  Congress 
for  the  parameters  of  its  authority.   A  federal  judge 
does  not  make  law  or  policy.   Those  responsibilities 
and  powers  are  vested  in  the  Congress  and  the 
Executive  Branch.   The  responsibility  of  a  federal 
judge  is  to  find  facts  and  apply  the  law  as  enacted  by 
Congress  and  in  keeping  with  the  interpretation  of  the 
law  by  the  appellate  courts. 

The  judge  must  at  the  outset  of  litigation  make 
findings  as  to  the  standing  of  the  parties,  and  a 
determination  as  to  whether  there  exists  a  concrete, 
definite,  real  dispute  which  may  be  redressed  by  an 
order  of  specific  relief  from  the  Court. 

A  federal  district  court  judge  is  ill-equipped  to 
serve  as  an  "administrator  with  continuing  oversight 
responsibilities'*.   However,  the  judge,  in  deciding  an 
actual  case  or  controversy  may  nonetheless  affect  the 
way  in  which  those  individuals  who  are  responsible  for 
the  internal  administration  of  organizations  or 
institutions  which  may  be  before  the  court,  will 
comply  with  the  orders  of  the  court. 


24 


325 


AFFIDAVIT 


I,  Mary  M.  Lisi,  do  swear  that  the  information  provided  in 
this  statement  is,  to  the  best  of  my  knowledge,  true  and 
accurate. 


January  31,  1994  ^^/Jn^^y  /h    o^/^^^V 


Mary  J^.'^Lisi'^ 


Notary  / 

Sharon  6.  Rtzpalricfc 

Kiy  Cc  r.m:33.'sn  &^«"k  .luiy  to  1995 


FINANCIAL  DISCLOSURE  REPORT  (cont'd) 


326 


Mam  of  Parsoo  Raportlog 

Lisi,  Mary  M. 


D«t«  of  Kaporc 

1/31/94 


IV.    REIMBURSEMENTS  and  GIFTS  -  transportation,  lodging,  food,  entertainment. 

(Includes  those  to  spouse  and  dependent  children;  use  the  parentheticals  '(S)"  and  '(DC)"  to  Indicate  reporteUe 
reimbursements  and  gifts  received  by  spouse  and  dependeot  children,  respectively.    See  pp.l3-lS  of  Instnictloai.) 

SOURCE  DESCRIPTION 


n 


NONE   (No  aucb  rapor^Abla  rslAburaaasnta  or  gifta] 

Exenpt 


V.     OTHER  GIPTS.      (includes  those  to  spouse  and  dependent  children;  use  the  parentheticals  "(S)'  and  "(DC)'  to 
Indicate  other  gifts  received  by  spouse  and  dependent  children,  respectively.  See  pp.15-16  of  Instructions.) 

SOURCE  DESCRIPTION  VALUE 


n 


NONE       (Mo  auch   rapoPtable   glfta) 

Exenpt _^_    $_ 

$_ 

$_ 

$ 


VI.      LIABILITIES,      (includes  those  of  spouse  and  dependent  children;  indicate  where  applicable,  person  responsible 
for  liability  by  using  the  parenthetical  "(S)"  for  separate  liabilitv  of  spouse,  "(J)"  for  joint  liability  of  reporting 
individual  and  spouse,  and  "(DC)"  for  liability  of  a  dependent  child.    See  pp.16-18  of  Instructions.) 

CREDITOR  DESCRIPTION  VALUE    CODE* 

X  NONE       (Mo  raportabla  llabllltlaal 


VlkUil  CODtS:        J   -   S15.00O   or    laaa  I   •   515,001   to  150,000  L   -   550,001   to  5100,000  H   -   5100.001    to  t»0,OOO 

R   -   5250,001    to   5500,000        O   -   5500,001   to   51,000,000        P   -   Mora    thai)    51,000,000 


327 


Httas  of  P«raoQ  Raporcing 

OMtm  of  toport 

FINANCIAL  DISCLOSURE  REPORT  (conl'd) 

Lisi,  Mary  M. 

1/31/94 

VII.    INVESTMENTS  and  TRUSTS  -  income,  value,  transactions,    (includes  those  of  spouse 

and  dependent  children;  sec  pp.  lft-27  of  Instnictioos.) 


p»»crlptXon   of  AAS«ta 
(iDCludLng   truac  UMta) 

lAdicata,   ««bar«  appllcabla,    ownar  oi 
tb«  «a*«c  by  using  Uia  nsrantiia^acal 
•(J)*    for  iolnt  ownaraSlp  of   raport- 
iiig   ln<llvi3ual   and   apooaa,    "(S)"   for 
a«paxat«  o»*TiaralLlp   by   apouaa,    '(DC)" 
for  ownarahip  by  Sapandaat  child, 

Plaea   '(X)*  afrsr  each  a«a«t 
axopt  Cros  prior  dlacloaux*. 

durlno 

e. 

Oroaa  valQa 
at  and  of 

D. 
Tranaactlona  during   raporttog  pftrlod 

CD 

Aat., 
(»-a) 

(2) 

dlv. , 

rant  or 

iMt.y 

(1) 

Valna^ 
Coda' 
(J-P) 

12) 

»aliia 

Mathod-, 

Coda^ 

(Q-X) 

A. 
buy.aall, 

■argar, 

radamp- 

tlon) 

If  Dol  axaapc   troB  diacloaur*                 1 

iiia:J 
Day 

(3) 
(J-P) 

(4) 

OalD, 
Coda* 

(»-a) 

Ui  privsta 
traaMmtloB) 

NONE     (No   raportAble 
IncoB*.    aaaata,    or 

'     Lincoln  National  Life  Ins, 
C>eferred  Conpensation 

A 

Int 

J 

T 

Exempt 

^     RI  State  Employees 
Rptirprrpnt    Fiinri 

ft 

None 

K 

T 

Exempt 

^     Fleet  National  Bank 
Providence.    RI      CD    (Jl 

A 

Int 

J 

T 

Exempt 

*     Citizens  Bank,   Prov.,   RI 

a 

Jrit 

T 

T 

fii^seesufif^'  p'^°yjt  ^ 

A 

Int 

J 

T 

Exenpt 

6    Nuveen  Insured  Municipal 
Bond  Fund               (J) 

A 

Div 

J 

T 

Exempt 

'    Citizens  Bank,   Prov.,   RI 

A 

Int 

J 

T 

'    Citizens  Bank,   Prov.,   RI 

P 

Int 

J 

T 

Exempt 

401-K                                     (S) 

A 

Int 

J 

T 

Exerrpt 

10 

Target  Benefit  Plan     (S) 

A 

Int 

K 

T 

Exempt 

11 

"   Real  Estate     'See  VIII 
rtiniaj    piririHa  ';7q,ifin 

a 

Mnnp 

K 

S 

Fxpmpt 

"  §i5igag=A§g?^*.iii^viiF 

A 

Int 

K 

T 

Exenpt 

i< 

15 

16 

17 

18 

19 

20 

I    IncoM/Ciln   CoOat:         »-Sl,000   or    !•••                       B-S1,001    to  52,500                       C-S2.501    to    5,000                          0*55,001    to   515.000 
ISaa  Col.    Bl    t   Dtl         E-S15,001    to    550,000             F-550.001    to    5100,000                0-5100,001    to    51,000.000        e-Hora    than    51. 000, 000 

2  Valua   Codaa:                        J-515.0CK1    or    iaaa                     K-515,001    to   550.000                  L-S50,OQ1    to    5100,000                M-5100,001    to   si^0,000 
•Sfm  r-ii       ?'    «    ?"!'         ^.^..c^    -^.    ^    5500.000        OS500.001    to   51,000,000        P-Mora    tiian    51,000,000 

J    ,a-oo  .lataoo  ..ooaa:      Q-Appr«l»ai                                 ft-Coat    ( raal  aatate  only)      S^Assasafflent                                   T=Caeh/Mar)tet 
(S«a  Col.   C2)                   U-Boolc  Valua                              v^Ottisr                                             W-Estunatad 

328 


FINANCIAL  DISCLOSURE  REPORT  (cont'd) 


«■•  ot  P*rsoQ  fiaportiog 

Llsi,   Mary  M. 


D«ta  of  ■■pore 

1/31/94 


VIII.    ADDITIONAL  INFORMATION  or  EXPLANATIONS.    (HxUck  p«i  or  Report.) 

*Real  Estate  -  Dania.  Florida. This  is  my  father's  residence. The  property  is  held 

as  a  joint  tenancy  with  hijn. 

**Citizens  Bank  -  Savings  Account.  This  is  a  joint  savings  account  vd.th  my  father. 

The  funds  are  his.  


IX.    CERTIFICATION. 

In  compliance  with  the  provisions  of  28  U.S.C.  §  455  and  of  Advisory  Opinion  No.  57  of  the  Advisory  Committee  on 
Judicial  Actrviijes,  and  to  the  best  of  my  knowledge  ai  the  time  after  reasonable  inquiry,  I  did  not  perform  any  adjudicatory 
function  in  any  litigation  during  the  period  covered  by  this  report  in  which  I,  my  spouse,  or  my  minor  or  dependent  dtiktreo 
had  a  financial  interest,  as  defined  in  Canon  3C(3)(c),  in  the  outcome  of  such  litigation. 

I  certify  that  all  information  given  above  (including  information  peruining  to  my  spouse  and  minor  or  dependent  children, 
if  any)  is  accurate,  true,  and  complete  to  the  best  of  my  knowledge  and  belief,  and  that  any  information  not  reported  was 
withheld  because  it  met  applicable  statutory  provisions  permitting  non-disclosuie. 

1  funher  certify  that  earned  income  from  outside  employment  and  honoraria  and  the  acceptance  of  gifts  which  have  been 
reported  are  in  compliance  with  the  provisions  of  5  U.S.C-A.  app.  7,  §  501  et.  seq.,  5  U.S.C.  5  7353  and  Judicial  Conference 
regulations. 


Signature 


'\  yyiyi^jA/h      r7)t4^ 


Date 


^^^^v 


5IVL3U/ 


NOTE;      ANY  INDIVIErtJAL  WHO  KNOWINGLY  AND  WILFULLY  FALSIFIES  OR  FAILS  TO  FILE  THIS  REPORT 
MAY  BE  SUBJECT  TO  CIVIL  AND  CRIMINAL  SANCTIONS  (5  U.S.CA.  APP.  6.  S  104.  AND  18  U5.C  %  lOOL) 


FILING  INSTRUCTIONS: 


Mail  signed  original  and  3  additional  copies  to: 


Judicial  Ethics  Cdmminee 
Administrative  Office  of  the 

United  Slates  Courts 
Washington,  DC   20S44 


X 


/ 


329 


MARy-M*   LISI 


FINANCIAL  STATEMENT 
NET  WORTH 


As  Of  December  31,  1993 


Pfovidi  •  complete.  Cvrrtnl  fintnciil  net  worth  iHlwnenl  which  iltmliei  In  ddijl  ill  iticli  (indutfir. 
lecounll.  r»jl  »iUt».  ^^eufiiiet.  Iivili.  invt«lm«nl».  »«*  other  (intncid  hokJInn)  (l|  li«bili|it}  (includin{ 
mstgij".  'M"».  '"^  o">«'  (injftciti  ebligationi)  of  jroufieil.  your  ipouj«.  mi  olhtf  ImmtdUto  memt 
your  houtthoid. 


^ 

ASSCTS 

||                                       UABlimCt 

C4«h  en  htntf  «Ad  In  b«nkj 

Uli»4  MCwnDn — •dd  tcht^ut* 
Uniir<«  MCuntiM — idd  *e^•dul• 
Aeccuna  *i>C  noln  r*ciiviMi: 

O^a  from  rtli^v•t  trtd  tn'trtdi 

Ow*  from  o<hfr« 
Oogttful 

K                  K««i  ntjtf  mcrtiain  rtctivtbT* 

Ctin  vil»»« r.ft  lAiurir><i 

i  Caiipensation  Lincoln  National 

7qR7i 

MD 

1   NolM  Nr«bla  to  6lr<li»— t«curo4 
No<«>  Mr'bia  to  b«nb— u^ucurW 

C 

Ol 

0 

00 
00 

■oo 

i 

0? 

1  N«tt»  pjnbl*  Is  olhtn 

0 

Ol 

2800 

0 

HI 

0 

Accmna  ir^a  Mm  ou* 
Unpild  Ineem*  Iji 

OtKor  urtMld  t«l  trtd  fntaml 

Rtal  Mint  metlitn  payaM»— «M 

Khadulo 
Qvlttcf  mortsagri  an^  oartar  flana 

Olht<  daM»--tltmlit: 

n 

N/A 

II 

0 

p 

Jl 

N/A 

— 

132000 

^^» 

N/A 

0 

350000 

00 

0 

— 

~  *^3HH 

0 

00 

0 

'^'raBJBi 

^BBoo 

n 

np 

Deferre; 

11757 

IJI? 

—                         • 

RI  St^ 

kuipioyees  Ketirement  Fund 

47197 

00 

-nn 

• 

Nuvee^ 

ensured  Municipal  Bond  f\ind 

1397? 

ToUl  lUbKiliM 

132000 
441066 

IRAs 

i7nq 

Ml 

Ji 

bee  bcn^uje^i^tached 

.  57306A 

T«jl  ntblllUn  iivd  htl  »or»n 

() 

573066 

0 

COKTlNStNT   UASlllTltS 

CtNOUl  INrORMATION 

Ax  m<^aor\*r.  cor^lktr  or  r^jtrantor 
On  tuMt  or  cont/ictl 

PvW•ft•or^  for  fwCtr^t  tnccmt  Tal 
OP»r  l^fclil  dabi 

0 

00 

A/a   artr  UwQ  »Ia<f|a^    (U4    KhaO- 
Ult.) 

Aro  fov  da(«r%darrt  In  «ny  witi  or 

l*(ti  tctienti' 
Haol  >ou  *««r  bUn  bartiAipic}) 

.        t^O., 

0 

00 

0 

00 

Yes 

0 

06 

No 

n 

nn 

■ 

0 

.20. 

330 

MARY  M.  LISI 
ASSETS 

401K  6,000.00 

Target  Benefit  Plan         22,400.00 
Joint  Savings  Account 

with  Mary  Lisi's  father     22,000.00 
(these  are  my  father's  funds) 

*Real  Estate  Owned 

Residence:   355  Stone  Ridge  Drive 

East  Greenwich,  RI  02818 
(tenancy  by  the  entirety) 
Approximate  Value:   $325,000.00 

59  Catcay  Court 

Dania,  PL   33004 

(joint  tenancy  with  my  father; 

this  is  his  residence) 
Approximate  Value:  $25,000.00 

LIABILITIES 

Real  Estate  Mortaaaes  Payable 

Citizens  Mortgage  Corporation 
mortgage  on  355  Stone  Ridge  Drive 

East  Greenwich,  RI   02818 
Balance  as  of  12/31/93:  Approximately  $118,000.00' 


Citizens  Bank  Equity  Mortgage 
mortgage  on  355  Stone  Ridge  Drive 

East  Greenwich,  RI   02818 
Balance  as  of  12/31/93:  Approximately  $14,000.00 


331 


FINANCIAL  DISCLOSURE  REPORT 


Kaport  ll*q\ilr«d  by  tbm  ttlilCB 
R«Cor»  Act  oC    1989,   Pub.    L.   Bo. 
101-194,      lovnitMr    10,    1M9 
(5    U.S.C.A.    App.    6,    fSlOl-112) 


1.    PaxsoQ  fUporclng    [Lmaz  o«a*,    Clrst,    Klddla   inltl*l] 


Lisi/   Mary  M. 


2.    Court   or  Organization 

United  States  District  Court 
District  of  Rhode  Island 


3.  Dat«  of  toport 


1/31/94 


4.   Tltla      {Axxlcl*  III   judgas   iDdlcats  acrlva  or 

••Qlor  atacua;    Hagiarraca  judgaa   Ijidlcata 
full-   or   parx-tlaa] 

Nominee  -  United  States  District 

Court  Judge 


S.    Raport  Typa    (cback   approprlata  cypa) 
X      »o»lnatlon.    Data   1/27/94 
X      Initial        Annual        Pinal 


6.   Raportlng  Parlod 

January  1,  1993  - 
January  14,  1994 


7.  Cbaabara  or  Offlca  Addraaa 

24  Weybosset  Street 
Providence,  RI  02818 


8.  On  Uia  baala  of  thm   Information  contalnad  In  thla  Ksport,  It 
la,  In  By  opinion.  In  coBpllanca  wltil  appllcabla  lawa  and 
ragulatlona  


Ravlawlng  Offlcar  Signatura 


IMPORTANT    NOTES:      The   insmictions     accompanying     this  form   must   be  followed.    Complete  all  pafts, 
cfaeddng  the  NONE  box  for  each  section  where  you  have  no  reportable  inronnation.    Si^   on  last  page 


I.     POSITIONS.     (Reporting  individual  only,  see  pp.  7-8  of  Instruaions.) 

POSITION  NA.ME  OF  ORGANIZAnON/ENTTTY 


n 


NONE        (Ho  raportabla  poaltlooa) 

Director 


National  Court  Appointed  Special  Advocate 


Association,   Seattle,  Washington 


II.     AGREEMENTS.     (Reponing  individual  only;  see  p.  8-9  of  Instnictions.) 
DATE  PARTIES  AND  TERMS 


□ 


NONE        (Ko   raportabla  agraaaanta) 


NON-INVESTMENT  INCOME.     (Reponing  individual  and  spouse;  see  pp.  9-12  of  Instructions.) 


n 


DATE 


SOURCE  AND  TYPE 


NONE        [Do   raportabla   noo-lnvaitoaot   Incooe) 


GROSS  INCOME 
(youR,  not  spouse's). 


1992 


19S3 


1994 


1992 


1993 


State 

of 

Rhode 

Island 

-  Chief 

Disciplinary 

Counsel 

State 

of 

Rhode 

Island 

-  Chief 

Disciplinary 

Counsel 

State 

of 

Rhode 

Island 

-  Chief  Disciplinary 

Counsel 

Blish 

& 

:avanaqh  -  Attorney 

Blish  &  Cavanagh  -  Attorney 


$  65,515.90 


$  71,669.18 


$  2,171.28 
S   (s) 
$  (s) 


1994 


Blish  &  Cavanagh  -  Attorney 


(s) 


332 


I.    BIOGRAPHICAL  INFORMATION  (PUBLIC) 

1.  Full  name  (include  any  former  names  Used.) 

Willie  Louis  Sands 

2.  Address:   List  current  place  of  residence  and  office  address(es). 

Home:  1657  Twin  Pines  Drive 

Macon,  Georgia  31211 

Office:  Room  310 

Bibb  County  Courthouse 
661  Mulberry  Street 
Macon,  Georgia  31201 

3.  Date  and  place  of  birth. 

April  12,  1949;  Bradley,  Jones  County,  Georgia 


Marital  Status  (include  maiden  name  of  wife,  or  husband's  name).    List 
spouse's  occupation,  employer's  name  and  business  address(es). 

Married.         Spouse:         Karia  Jonita  Heath-Sands 

Occupation:  Community  Service  Director/TV  Weathercaster 
Employer:      WMAZ  T.V. 

P.O.  Box  5008 

Macon,  Georgia  31213 


Education:  List  each  college  and  law  school  you  have  attended,  including 
dates  of  attendance,  degrees  received,  and  dates  degrees  were  granted. 

Mercer  University,  9/67  -  6/71 

B.A.  Degree  (Double  Major):  (June  6,  1971) 

(a)  Political  Science 

(b)  Music 

Walter  F.  George  School  of  Law,  8/71  -  6/74 
Juris  Doctor  Degree  (June  2,  1974) 


Employment  Record:  List  (by  year)  all  business  or  professional  corporations, 


333 


companies,  firms,  or  other  enterprises,  partnerships,  institutions  and 
organizations,  nonprofit  or  otherwise,  including  firms,  with  which  you  were 
connected  as  an  officer,  director,  partner,  proprietor,  or  employee  since 
graduation  from  college. 

6/74  to  9/74  -  District  Attorney's  Office.  Macon  Judicial  Circuit.  Macon, 
Georgia.   Chief  Legal  Assistant  to  District  Attorney. 

9/74  to  12/74  -  United  States  Army.  First  Lieutenant,  United  States  Army 
Reserves.   Ft.  Gordon,  Georgia. 

1/75  to  11 /78  -  District  Attorney's  Office,  Macon  Judicial  Circuit  (Bibb,  Peach 
and  Crawford  Counties,  Georgia).  Assistant  District  Attorney 
[During  certain  periods  during  my  tenure  as  an  assistant,  I 
was  technically  an  employee  of  the  State  of  Georgia.] 

1 976  to  Present  -  Steward  Chapel  African  Methodist  Episcopal  Church. 
Organist/Minister  of  Music  &  Officer. 

approx.  1975 

to  1977  -      Family  Counseling  Center.   Member,  Board  of  Directors. 

1 1  /78  to  1 2/87  -  United  States  Department  of  Justice  (United  States  Attorney's 
Office,  Middle  District  of  Georgia).  Assistant  United  States 
Attorney 

1984  to  1991      -     Investors,  Ltd.  Partner.  (Investment  partnership  club) 

12/87  to  4/91  -  Mathis,  Sands,  Jordan  &  Adams,  P.C.  Partner,  Law  Firm 
(Macon  and  Milledgeville,  Georgia) 

1991  to  Present-     State  of  Georgia.    Superior  Court  Judge.    Macon  Judicial 

Circuit.   Macon,  Georgia. 

1992  to  Present  -     Macon  Symphony  Board,  Director 

1993  to  Present  -     Community  Foundation  of  Central  Georgia,  Inc.,  Director 

1993  to  Present  -     Bank  Corporation  of  Georgia/First  South  Bank,  N.A.,  Director 

1994  to  Present  -     Board  of  Visitors,  Walter  F.  George  School  of  Law.  Member. 


Military  Service:  Have  you  had  any  military  service?  If  so,  give  particulars, 
including  the  dates,  branch  of  service,  rank  or  rate,  serial  number  and  type 
of  discharge  received. 


334 


Yes.  I  was  commissioned  a  Second  Lieutenant  in  the  United  States  Army  Signal 
Corps  on  June  6,  1 971 .  While  a  college  ROTC  cadet,  I  performed  six  (6)  weeks 
of  basic  training  at  Ft.  Bragg,  North  Carolina  in  the  Summer  of  1970.  After  law 
school,  I  entered  upon  active  duty  (for  training  only)  at  the  rank  of  1"  Lieutenant 
at  Fort  Gordon,  Georgia  from  September  -  December,  1974.  I  also  performed 
active  duty  as  a  reservist  assigned  to  a  regular  army  unit  at  Fort  Gordon  in  the 
Fall  of  1978.   After  completing  reserve  duty,  I  resigned  my  commission  in  1980. 


8.  Honors  and  Awards:  List  any  scholarships,  fellowships,  honorary  degrees, 
and  honorary  society  memberships  that  you  believe  would  be  of  interest  to 
the  Committee. 

I     attended     Mercer     University     substantially     on     academic     scholarship 
(undergraduate  school).  Tapped  into  Scabbard  and  Blade  Military  Honor  Society. 

Member  of  Moot  Court  Board  of  Advisors,  Walter  F.  George  School  of  Law.  1 973- 
74 

Graduate,  Leadership  Georgia,  1986 

Graduate,  Leadership  Macon,  1985 

Named  to  Outstanding  Young  Men  of  America,  1984 


9.  Bar  Associations:  List  all  bar  associations,  legal  or  judicial-related 
committees  or  conferences  of  which  you  are  or  have  been  a  member  and 
give  the  titles  and  dates  of  any  offices  which  you  have  held  in  such  groups. 

State  Bar  of  Georgia 

Bench  &  Bar  Committee:  1991 -Present 

Macon  Bar  Association 

President:    1991-92 

President-Elect:    1990-91 

Secretary:    1989-90 

Treasurer:    1 988-89 

Law  Day  Chair/Co-Chair:   approx.  1988  (and  in  a  previous  year) 

Court  Security  Committee:    1992-93 

Council  of  Superior  Court  Judges 

Uniform  Rules  Committee:  1992  to  1993 

Bench  &  Bar  Committee:  1991  to  Present 


335 


Sentence  Review  Panel:  1993 

Legislative  Committee:  1993  to  1994  (term) 

Council  Director  Search  Committee:       1993 

American  Bar  Association:  1991  to  Present 

American  Judicature  Society:  1991  to  Present 

Georgia  Commission  on  Family  Violence: 

Vice-President  1992  to  Present 

Georgia  Supreme  Court  Committee 
for  Gender  Equality:  1993  to  Present 

Georgia  Supreme  Court  Task  Force  on 
Substance  Abuse:  1991  to  Present 

10.  Other  Memberships:  List  all  organizations  to  which  you  belong  that  are 
active  in  lobbying  before  public  bodies. 

The  Georgia  Commission  on  Family  Violence  and  the  Georgia  Supreme 
Court  Committee  for  Gender  Equality  have  specific  charges  to  review  and  suggest 
legislation  or  comment  on  the  same.  In  that  sense  each  has  direct  contact  with 
the  State  legislature  and,  therefore,  indirectly,  other  public  bodies.  The  Legislative 
Committee  of  the  Council  of  Superior  Court  Judges  communicates  matters  of 
legislative  interest  to  the  judiciary  and  vice-versa. 

Please  list  all  other  organizations  to  which  you  belong. 

Walter  F.  George  School  of  Law  Alumni  Assoc.  Board 

City  Club  of  Macon' 

Alpha  Phi  Alpha  Fraternity,  Inc.  (Epsilon  Beta  Lambda  Chapter) 

Community  Foundation  of  Ga.,  Inc.  (Board  Member) 

Mercer  University's  30th  Anniversary  Planning  Committee  (commemorates  30  years  of 

African-American  enrollment) 
Sigma  Pi  Phi  Fraternity  (Beta  Chi  Boule) 
Homosophian  Club 
Macon  Symphony 

1 1 .  Court  Admission:  List  all  courts  in  which  you  have  been  admitted  to  practice, 
with  dates  of  admission  and  lapses  if  any  such  memberships  lapsed.  Please 
explain  the  reason  for  any  lapse  of  membership.  Give  the  same  information 
for  administrative  bodies  which  require  special  admission  to  practice. 


'Membership  Criteria  information  attached  -  See,  attachment,  question  10. 


336 


United  States  Supreme  Court,  August  8,  1980 

United  States  Court  of  Appeals  for  the  Eleventh  Circuit,  October  1 981 

United  States  Court  of  Appeals  for  the  Fifth  Circuit,  December  29,  1978 

United  States  District  Court  for  the  Middle  District  of  Georgia,  November  21 ,  1978 

Supreme  Court  of  Georgia,  January  8,  1975 

Court  of  Appeab  of  Georgia,  Janueiry  8,  1975 

Superior  Courts  of  Georgia,  October  28,  1 974 

United  States  District  Court  for  the  Southern  District  of  Georgia  {pro  hac  vice, 
only)  May,  1990 


12.  Published  Writings:  Ust  the  titles,  publishers,  and  dates  of  books,  articles, 
reports,  or  other  published  material  you  have  written  or  edited.  Please 
supply  one  copy  of  all  published  material  not  readily  available  to  the 
Committee.  Also,  please  supply  a  copy  of  all  speeches  by  you  on  issues 
involving  constitutional  law  or  legal  policy.  If  there  were  press  reports  about 
the  speech,  and  they  are  readily  available  to  you,  please  supply  them. 

I  have  no  published  writings  other  than  judicial  opinions.  With  regard  to 
speeches  referencing  constitutional  law  or  legal  policy,  I  have  only  made  short 
talks  to  groups  following  the  ABA  Law  Day  Theme  in  a  given  year  or  the  most 
general  informational  comments  to  school  children  regarding  the  form  of  our 
government  without  written  documentation. 


13.      Health:  What  is  the  present  state  of  your  health?  Ust  the  date  of  your  last 
physical  examination. 

Very  good.   September  22,  1993. 


14.  Judicial  Office:  State  (chronologically)  any  judicial  offices  you  have  held, 
whether  such  position  was  elected  or  appointed,  and  a  description  of  the 
jurisdiction  of  each  such  court. 

I  am  presently  a  Superior  Court  Judge  for  the  State  of  Georgia,  Macon 
Judicial  Circuit.  I  was  appointed  by  Governor  Zell  Miller  and  sworn  in  on  April  30, 


337 


1991.  The  Superior  Court  is  the  trial  court  of  general  jurisdiction  established 
under  the  State  constitution.  Its  jurisdiction  includes  felony  criminal  and  civil 
matters,  as  well  as  equity.  The  Superior  Court  also  sits  as  a  court  of  review  in 
that  it  hears  appeals  from  administrative  bodies  such  as  the  Workers' 
Compensation  Board.  At  the  appropriate  time  it  will  be  necessary  to  stand  for 
election  to  remain  in  the  position  following  appointment. 


15.      Citations:  If  you  are  or  have  been  a  judge,  provide: 

(1)  Citations  for  the  ten  most  significant  opinions  you  have  written;' 

I  am  a  trial  court  judge.  Therefore,  I  do  not  routinely  write  opinions  in  the 
usual  sense  of  the  word.  However,  I  do  make  rulings  which  occasionally 
include  a  written  decision  or  order.  Ten  of  those  which  I  believe  are 
significant  follow: 

NOTE:  I  have  attached  copies  of  the  below  listed  orders  and  copies  of 
unpublished  opinions,  where  appropriate. 

(a)  State  of  Georgia  v.  Kenneth  D.  Bright.  Indictment  No.  SU90CR-368- 
4,  Superior  Court  of  Muscogee  County  (Specially  appointed  to  hear 
a  recusal  action).   Order. 

(b)  Emanuel  R.  Solomon,  M.D.  v.  J.  Gregory  Jones.  M.D.,  Civil  Action 
No.  81989,  Superior  Court  of  Bibb  County,  Georgia.  Findings, 
Verdict  and  Judgment.  Affirmed:  Jones  v.  Solomon.  207  Ga.  App. 
592  (1993). 

(c)  State  of  Georgia  v.  Altonio  Brooks.  Indictment  No.  38737-02, 
Superior  Court  of  Bibb  County,  Georgia.   Order. 

(d)  Kathryn  L.  Baker  v.  Charles  R.  Whalen  and  Vineville  Tire  Co..  Civil 
Action  No.  79740,  Supenor  Court  of  Bibb  County,  Georgia.  Order. 

(e)  Atlantic  Cotton  Mills.  Inc.  v.  Rivoli  Crossing  Baptist  Church.  Inc.  and 
First  Rebecca  Baptist  Church.  Inc..  Civil  Action  No.  87972,  Superior 
Court  of  Bibb  County,  Georgia.  Order.  [Judgement  Reversed. 
Supreme  Court  of  Georgia,  Case  No.  S93A1334.    November  24, 


^Since  1  am  a  trial  judge,  I  am  not  often  required  to  write  opinions  in  handling  the 
routine  business  of  the  Court.  In  fact,  a  very  important  or  significant  case  may  not  require 
a  written  opinion,  as  such.  Therefore,  significant  written  opinions,  as  reflected  here,  should 
not  be  equated  as  necessarily  the  most  significant  cases  handled. 


338 


1993]   See,  copy  of  opinion  attached  under  Question  15(2),  infra. 

(f)  Dr.  Frank  W.  Barr  v.  Dr.  Margaret  Barr  and  Margaret  Barr  v.  Frank 
W.  Barr.  Civil  Action  Nos.  83713  and  83455,  respectively.  Superior 
Court  of  Bibb  County,  Georgia.   Orders. 

(g)  Walker,  et  al  v.  Central  of  Georgia  Railroad.  Civil  Action  No.  79491 , 
Superior  Court  of  Bibb  County,  Georgia.   Orders. 

(h)  State  of  Georgia  v.  Willie  James  Clav.  Indictment  No.  40099-01. 
Superior  Court  of  Bibb  County,  Georgia.  Order  granting  Motion  to 
Suppress. 

(i)  Christine  L.  Gleason  v.  Melton  Joe  Starks.  Superior  Court  of  Bibb 
County,  Georgia,  Civil  Action  No.  87666.   Order. 

(j)  Lance  Efrem  Shelley  v.  Debra  Gray  Shelley,  Civil  Action  No.  86977. 
Order. 


(2)  A  short  summary  of  and  citations  for  all  appellate  opinions  where  your 
decisions  were  reversed  or  where  your  judgment  was  affirmed  with 
significant  criticism  of  your  substantive  or  procedural  rulings; 

Only  two  decisions  that  I  rendered  have  been  reversed:  (1 )  Glover  v.  Scott. 
etal..  435  S.E.2d  250  (1993).  The  Georgia  Court  of  Appeals  found  as  error 
my  affirmance  of  the  decision  of  the  Board  of  Review  of  Employment 
Security  to  deny  unemployment  benefits  to  a  fired  employee.  (2)  Atlantic 
Cotton  Mills.  Inc.  v.  Rivoli  Crossing  Baptist  Church,  Inc.  and  First  Rebecca 
Baptist  Church,  Inc.,  Supreme  Court  of  Georgia,  Case  No.  S93A1334. 
Decided:  November  24,  1993.  The  Court  agreed  with  my  analysis  and  fact 
findings  in  a  complex  multi-congregational  dispute  regarding  title  to 
property,  but  disagreed  with  my  conclusion  that  a  reversionary  interest  had 
not  been  triggered  by  the  action  of  the  titled  congregation.  (Copy  of 
opinion  attached.) 

(3)  constitutional  issues,  together  with  the  citation  to  appellate  court 
rulings  on  such  opinions.  If  any  of  the  opinions  listed  were  not 
officially  reported,  please  provide  copies  of  the  opinions. 

None. 

16.      Public  Office:  State  (chronologically)  any  public  offices  you  have  held,  other 


339 


than  judicial  offices,  including  the  terms  of  service  and  whether  such 
positions  were  elected  or  appointed.  State  (chronologically)  any 
unsuccessful  candidacies  for  elective  public  office. 

1 .  Assistant  District  Attorney  (appointed) 

Macon  Judicial  Circuit  1975-78 

2.  Assistant  United  States  Attorney 

Middle  District  of  Georgia  (appointed)  1978-87 

3.  Georgia  Supreme  Court  Task  Force  1991 -Present 

on  Substance  Abuse  (appointed) 

4.  Georgia  Commission  on  Family  1992-Present 

Violence  (appointed) 

5.  Georgia  Supreme  Court  Committee  1993-Present 

for  Gender  Equality  (appointed) 

17.      Legal  Career: 

a.        Describe  chronologically  your  law  practice  and  experience  after 
graduation  from  law  school  including: 

1.  whether  you  served  as  a  clerk  to  a  judge,  and  if  so,  the  name  of 
the  judge,  the  court,  and  the  dates  of  the  period  you  were  a 
clerk; 

I  did  not  clerk  for  a  judge.    However,  I  did  clerk  for  the  District 
Attorney's  Office  for  the  Macon  Judicial  Circuit. 


2.        whether  you  practiced  alone,  and  if  so,  the  addresses  and 
dates; 

I  did  not  practice  alone. 


the  dates,  names  and  addresses  of  law  firms  or  offices, 
companies  or  governmental  agencies  with  which  you  have  been 
connected,  and  the  nature  of  your  connection  with  each; 

6/74  to  9/74  -  Chief  Legal  Assistant  to  the  District  Attorney.  Macon 
Judicial  Circuit.  Bibb  County  Courthouse;  610  Mulberry  Street; 
Macon,  Georgia  31 201 .  Supervised  law  clerks  and  drafted  appellate 


340 


briefs. 

9/74  to  12/74  - 1"  Lieutenant.  Signal  Corps.  Active  Duty  for  Training 
Only.   United  States  Army  Signal  School.   Ft.  Gordon,  Georgia 

1/75  to  1 1/78  -  Assistant  District  Attorney.    Macon  Judicial  Circuit. 

Bibb  County  Courthouse;  610  Mulberry  Street;  Macon,  Georgia 

31201. 

11/78  to  12/87  -  /Assistant  United  States  Attorney  for  the  Middle 

District  of  Georgia.   United  States  Courthouse;  Mulberry  and  Third 

Streets;  Macon,  Georgia  31201. 

12/87  to  4/91  -  Partner.  Mathis,  Sands,  Jordan  &  Adams,  P.C. 
Private  Practice  of  Law.  Main  Office:  425  S.  Wayne  Street; 
Milledgeville,  Ga.  31061.  Macon  Address:  P.O.  Box  928;  Macon, 
Georgia  31202. 

4/91  to  Present  -  Judge.  Superior  Court.  Macon  Judicial  Circuit. 
Bibb  County  Courthouse;  610  Mulberry  Street;  Macon,  Georgia 
31201. 

What  has  been  the  general  character  of  your  law  practice, 
dividing  it  into  periods  with  dates  if  its  character  has  changed 
over  the  years? 

Immediately  after  graduating  from  law  school  in  June  of  1 974, 
I  continued  as  chief  legal  assistant  to  the  District  Attorney  for  the 
Macon  Judicial  Circuit,  so  that  I  might  take  the  bar  exam  in  July, 
1974  and  because  I  was  scheduled  to  enter  active  duty  with  the 
United  States  Army  Signal  School  at  Ft.  Gordon,  Georgia  in  the  fall. 
My  major  responsibilities  were  to  supervise  other  summer  law  clerks 
and  interns  and  to  serve  as  the  chief  appellate  brief  writer  for  the 
office. 

I  ended  my  employment  with  the  district  attorney's  office  and 
entered  active  duty  (Signal  Officer's  Basic  Course)  in  September, 
1974.  While  on  active  duty,  I  received  notice  that  I  passed  the 
Georgia  Bar  Exam.  My  active  military  course  of  duty  ended  in 
December,  1 974.   Thereafter,  I  returned  to  Macon,  Georgia. 

I  accepted  employment  as  an  assistant  district  attorney  for 
the  Macon  Judicial  Circuit  in  January,  1975.  I  was  the  first  African- 
American  so  appointed  in  the  history  of  the  circuit  (and  possibly  the 
first  in  the  State  outside  of  Atlanta-Fulton  County,  Georgia).  As  an 
assistant,  I  prosecuted  felony  and  related  misdemeanor  cases  in  the 
Superior  Courts  of  Bibb,  Peach  and  Crawford  Counties.  Among  the 


341 


charges  personally  prosecuted  were:  Murder,  lesser  homicides, 
kidnapping,  rape,  armed  robbery,  burglary,  and  theft  cases.  I  also 
prosecuted  cases  in  the  Juvenile  Courts  of  the  circuit,  including 
allegations  of  delinquency,  deprivation  and  similar  actions  brought 
against  parents  or  affecting  the  hghts  of  parents  and  children  in  that 
court. 

My  duties  as  an  assistant  district  attorney  also  included 
representing  the  State  in  felony  preliminary  hearings,  inquests, 
search  warrant  preparation,  criminal  investigations,  in  civil  suits 
within  the  responsibility  of  the  district  attorney  relating  to  public 
nuisances,  and  appellate  brief  writing.  I  also  established  and 
administered  the  Child  Support  Recovery  Unit  for  the  circuit  in  1 975, 
pursuant  to  newly  enacted  federal  child  support  enforcement 
legislation.  At  the  time  I  left  the  district  attorney's  office,  to  accept 
appointment  as  an  assistant  United  States  attorney,  I  was  the  major 
crimes  prosecutor  and  the  second  most  senior  attorney  in  years  of 
service  on  the  District  Attorney's  staff. 

I  was  appointed  to  be  Assistant  United  States  Attorney  for  the 
Middle  District  of  Georgia  by  then-Attorney  General  Griffin  Bell  on 
November  7,  1978.  I  was  assigned  to  the  criminal  section  of  the 
Macon  Division  (the  district's  largest  of  seven  divisions).  I  became 
the  senior  attorney  in  that  division  within  a  year  of  my  appointment 
and  remained  so  throughout  my  tenure. 

As  an  assistant,  I  was  responsible  for  investigating  and 
prosecuting  violations  of  federal  criminal  statutes  and  related 
regulatory  rules  for  numerous  federal  agencies  within  my  division, 
including  the  Federal  Bureau  of  Investigation;  the  Secret  Service;  the 
Bureau  of  Alcohol,  Tobacco,  and  Firearms;  Immigration  and 
Naturalization;  Department  of  Education;  Department  of  Commerce; 
United  States  Postal  Service;  Internal  Revenue  Sen/ice;  etc.  As  an 
assistant,  I  was  also  responsible  for  appellate  briefs  and  arguments 
to  the  United  States  Court  of  Appeals  level.  I  practiced  regularly, 
first  in  the  United  States  Court  of  Appeals  for  the  Fifth  Circuit,  and 
later  in  the  United  States  Court  of  Appeals  for  the  Eleventh  Circuit. 

While  an  Assistant  U.  S.  Attorney  (from  November,  1978  until 
December,  1987),  I  prosecuted  major  drug  and  racketeering  cases, 
multi-million  dollar  fraud  cases,  tax  evasion  and  fraud  cases,  threats 
against  the  President,  illegal  automatic  weapons  cases,  agricultural 
fraud,  electric  power  plant  construction  fraud,  mail  and  wire  fraud, 
bank  fraud,  counterfeiting,  airplane  hijacking,  false  claims,  interstate 
travel  violations,  thefts  from  interstate  commerce,  bank  robbery,  etc. 


342 


In  December  of  1 987,  I  resigned  my  position  as  an  assistant 
United  States  Attorney  in  order  to  enter  private  practice.  Together 
with  the  following  attorneys,  I  formed  Mathis,  Sands,  Jordan  & 
Adams,  P.C.  with  offices  in  Macon,  Georgia  and  Milledgeville, 
Georgia:  Charles  A.  Mathis,  Jr.,  D.  James  Jordan,  and  Virgil  L 
Adams. 

Mathis,  Sands,  Jordan  &  Adams,  P.C.  was  a  general  practice 
law  firm  with  emphasis  toward  the  development  of  a  personal  injury 
and  related  areas  of  practice.  However,  the  firm  continued  to 
provide  legal  representation  in  State  end  Federal  criminal  cases, 
domestic  relations,  corporate,  real  estate,  wills  and  estates,  and 
cases  involving  civil  rights  throughout  my  tenure  with  the  firm. 

I  served  as  Vice  President  of  the  firm.  While  associated  with 
the  firm,  I  handled  cases  in  the  following  areas:  Federal  and  State 
criminal  defense,  personal  injury,  domestic  relations,  wills  and 
estates,  employment,  civil  rights  and  Federal  civil  forfeiture.  I  also 
handled  a  limited  number  of  cases  before  administrative  agencies: 
EEOC  (United  States  Air  Force,  United  States  Postal  Sen/ice,  State 
of  Georgia).  Additionally,  I  handled  some  corporate  and  real  estate 
matters,  including  matters  for  the  City  of  Macon. 

I  ended  my  relationship  with  Mathis,  Sands,  Jordan  &  Adams, 
P.C.  (now  Mathis,  Jordan  &  Adams,  P.C.)  on  Apnl  29,  1991.  On 
April  30,  1991,  I  was  sworn  in  as  a  Superior  Court  Judge  for  the 
Macon  Judicial  Circuit  upon  appointment  by  the  Honorable  Zell 
Miller,  Governor  of  Georgia. 


Describe  your  typical  former  clients,  and  mention  the  areas,  if 
any,  in  which  you  have  specialized. 

As  an  assistant  district  attorney,  I  represented  the  State  of 
Georgia,  and  hence,  the  citizens  of  Georgia  in  the  prosecution  of  all 
levels  of  felony  charges  and  related  misdemeanor  violations.  These 
included  murder,  rape,  armed  robbery,  kidnapping,  aggravated 
assault,  other  crimes  against  persons  and  crimes  against  property, 
including  fraud.  Additionally,  I  represented  the  State  in  actions  in 
the  Juvenile  Court,  preliminary  hearings,  grand  jury  proceedings, 
and  inquests.  At  the  direction  of  the  district  attorney,  I  also, 
organized,  established  and  administered  the  Child  Support 
Recovery  Unit  which  engaged  in  actions  to  establish  paternity  and 
to  establish  and  enforce  the  payment  of  child  support  by  absent 
parents.   The  clientele  included  victims  of  crimes  from  all  strata  in 


343 


the  three-county  judicial  circuit  which  included  persons  from  every 
facet  of  society  from  the  very  poor  and  rural  communities  to  the  very 
urban  and  wealthy  communities.  My  public  clientele  included  all  of 
these. 

As  an  assistant  United  States  attorney,  I  represented  the 
citizens  of  the  United  States,  predominately,  in  1 8  counties  of  the 
70-county  district.  While  I  prosecuted  a  full  cross-section  of  federal 
criminal  offenses,  I  specialized  in  complex  fraud,  tax,  and 
racketeering-related  prosecutions.  Additionally,  I  drafted  and  argued 
all  appeals  of  cases  I  prosecuted  to  the  Circuit  Court  of  Appeals 
level. 

During  the  private  practice  of  law,  my  clientele  and  that  of  the 
firm  were  very  diverse  and  inclusive  with  regard  to  race,  sex,  and 
income  levels.  I  represented  businesses  and  laborers,  the  very 
young  and  the  elderly.  I  would  describe  my  specialty  as  litigation, 
while  in  public  and  private  practice. 


Did  you  appear  in  court  frequently,  occasionally,  or  not  at  all? 
If  the  frequency  of  your  appearances  in  court  varied,  describe 
each  such  variance,  giving  dates. 

I  appeared  in  court  frequently.  The  frequency  varied  as  follows: 
While  an  assistant  district  attorney,  I  was  in  court  virtually  every  day 
handling  hearings  and  trials  due  to  an  enormous  caseload.  Later, 
as  an  Assistant  United  States  Attorney,  I  was  in  court  frequently, 
though  not  as  often  in  trial,  because  of  the  typically  smaller 
caseload  in  Federal  court  as  compared  to  State  court.  However,  the 
federal  cases  tried  were  generally  far  more  complex.  My  in-court 
frequency  was  further  reduced  upon  entry  into  private  practice  due 
to  the  reduced  caseload  of  a  private  practitioner  as  compared  to  a 
public  practitioner.  Nonetheless,  my  court  appearances  remained 
relatively  regular  and  frequent. 


2.  What  percentage  of  these  appearances  was  in: 

(a)  federal  court;  55% 

(b)  state  courts  of  record;  44% 

(c)  other  courts.  .5% 

[(d)     administrative  tribunals  .5%] 

3.  What  percentage  of  your  litigation  was: 

(a)       civil  28% 


344 


(b)       criminal  72% 


State  the  number  of  cases  in  courts  of  record  you  tried  to 
verdict  or  judgment  (rather  than  settled),  indicating  whether  you 
were  soie  counsel,  chief  counsel,  or  associate  counsel. 

I  conservatively  estimate  the  toted  number  of  cases  I  tried  to  verdict 
or  judgment  in  courts  of  record  at  200.  I  was  usually  chief  or  sole 
counsel,  and  on  a  few  occasions,  associate  counsel.  This  estimate 
neither  includes  the  countless  minor  and  petty  offenses  I  have  tried, 
nor,  matters  tried  before  magistrate  judges. 


5.        What  percentage  of  these  trials  was: 

(a)  jury  75% 

(b)  non-jury         25% 

18.  Litigation:  Describe  the  ten  most  significant  litigated  matters  which  you 
personally  handled.  Give  the  citations,  if  the  cases  were  reported,  and  the 
docket  number  and  date  if  unreported.  Give  a  capsule  summary  of  the 
substance  of  each  case.  Identify  the  party  or  parties  whom  you  represented; 
describe  in  detail  the  nature  of  your  participation  in  the  litigation  and  the  final 
disposition  of  the  case.  Also  state  as  to  each  case: 

(a)  the  date  of  representation; 

(b)  the  name  of  the  court  and  the  name  of  the  judge  or  judges  before 
whom  the  case  was  litigated;  and 

(c)  the  individual  name,  addresses,  and  telephone  numbers  of  co-counsel 
and  of  principal  counsel  for  each  of  the  other  parties. 


1)  United  States  of  America  v.  Two  Hundred.  Ninety-Seven  Thousand. 
Eight  Hundred.  Ninety-Five  Dollars  ($297.895.00)  In  United  States 
Currency,  The  House  and  Lot.   Civil  Action  No.  89-11 3-VAL 

I  represented  Herbert  Grady  Bowen,  one  of  three  individueils  who 
filed  a  claim  and  answer  to  a  forfeiture  complaint.  He  was  the  owner  of 
several  hundred  thousand  dollars  of  cash  deposited  in  a  bank  by  his  co- 
claimant  brother,  who  had  acted  as  his  financial  advisor.  The  major  source 
of  Bowen's  cash  was  his  share  of  an  inheritance  from  his  deceased 
mother,  and  his  half  of  a  wrongful  death  settlement  resulting  from  the  death 
of  his  son,  who  was  struck  by  a  tractor  trailer  rig.  Bowen  withdrew  this 
lawfully  deposited  money  from  his  Florida  bank  in  the  form  of  cash. 


345 


After  keeping  the  money  in  his  home  under  the  constant  fear  that  he 
would  be  robbed,  Bowen  decided  to  taJ<e  the  money  to  his  brother's  home 
In  Georgia.  Bowen  was  in  relatively  ill  health  and  was  interested  in  using 
the  money  to  invest  for  his  retirement.  His  brother  had  a  background  in 
personal  finance  and  agreed  to  help  him  determine  what  was  best.  The 
brother  concluded  and  recommended  that  the  money  should  be  placed  in 
an  annuity.  However,  the  money  needed  to  be  deposited,  but  the  brother 
was  fearful  that  the  word  might  get  out  in  his  small  town  that  he  had  sacks 
of  cash  if  he  took  it  all  to  the  bank  at  once.  According  to  the  brother,  he 
understood  his  local  banker  to  explain  that  the  money  could  be  deposited 
and  not  reported  ("publicizad"  in  his  mind)  by  the  bank  so  long  as  the 
deposit  was  less  than  $10,000.00. 

Thereafter,  the  brother  made  deposits  of  all  the  money  through  the 
drive-in  window  of  the  bank.  A  bank  employee,  consistent  with  bank 
policy,  reported  the  deposits,  suspecting  that  money  laundering  was  afoot. 
A  joint  investigation  by  Federal  law  enforcement,  including  the  IRS,  resulted 
in  the  money  and  the  brother's  car  and  house  (the  brother's  spouse  also 
had  an  interest  in  the  house),  being  taken  for  forfeiture  for  violation  of 
money  laundering  statutes.  (28  U.S.C.  §§  1345  and  1356,  and  18  U  S  C 
§981(a)(i)(A). 

My  role  in  the  case  was  that  of  defense  attorney  for  Herbert  Grady 
Bowen,  the  owner  of  the  money.  My  client  denied,  that  any  of  the  money 
was  derived  from  illegal  sources,  that  he  made  the  deposits  and  contended 
that  he  relied  on  his  brother.  He  also  asserted,  along  with  his  brother,  that 
the  brother  thought  that  he  had  acted  consistently  with  his  banker's 
explanation.  The  government  filed  a  civil  complaint  for  forfeiture.  All 
claimants  answered  in  opposition  to  the  action  for  forfeiture.  The 
government  moved  for  summary  judgment  and  contended  that  the 
deposits  were  per  se  violations.  Thus,  the  government  argued,  all  the 
property  sought  for  forfeiture,  including  the  money,  should  be  forfeited 
without  regard  to  the  source  of  the  money  or  the  parties'  intent.  The  trial 
court  denied  the  government's  motion  for  summary  judgement  with  regard 
to  my  client's  interest  in  the  cash. 

This  case  was  settled  by  consent  order  of  forfeiture.  Its  significance 
points  out  some  potential  resulting  unfairness  and  inequity  in  the  operation 
and  effect  of  civil  forfeiture  law:  if  strictly  enforced  without  regard  to  the 
merits;  and,  if  the  enlightened  and  balanced  participation  of  a  jury  is 
denied.  In  all  probability,  this  case  settled  because  the  government  did  not 
succeed  in  its  motion  for  summary  judgment  as  to  my  client  and  faced  the 
real  possibility  that  a  jury  would  accept  the  defendants'  explanation, 
particularly  where  the  government  could  not  show  that  the  money  was  the 
fruit  of  illegal  conduct  or  that  the  parties'  intended  to  violate  the  law.  An 
amount  was  forfeited  to  the  government  and  the  remaining  funds  plus 


346 


accrued  interest,  along  with  all  other  personal  property,  was  returned  to  the 
daimants. 

Parties:  The  United  States  of  America; 

Herbert  Grady  Bowen; 
Charles  Ben  Bowen.  Jr.; 
M£uy  Keneece  Bowen. 

Co-Counsel:  None 

Counsel  for  Charles  Ben  Bowen.  Jr.  and  Mary  Keneece  Bowen: 

Floyd  M.  Buford  Sr. 
Buford  &  Buford 
P.O.  Box  4747 
Macon,  Georgia  31208 
(912)  742-3605 

Opposing  CounsehCharles  E.  Cox,  Jr.,  A.U.S.A. 
P.O.  Box  U 

Macon,  Georgia  31202-0076 
(912)752-3511 

Date  of  Disposition:  April  30,  1991 

Court:  United  States  District  Court  for  the  Middle  District  of 

Georgia,  Valdosta  Division 

Judge:  Hon.  Wilbur  D.  Owens.  Jr. 


2)        Ridley  v.  Grandison.  260  Ga  6.  389  S.E.2d  746  (1990). 

Ridley  is  a  domestic  relations  case  wherein  the  wife  sued  the 
husband  for  divorce  based  upon  an  alleged  common  law  marriage.  I  was 
lead  counsel  for,  and  represented,  the  wife  at  trial  and  as  appellee  on 
appeal  to  the  Georgia  Supreme  Court. 

The  parties'  relationship  began  in  the  State  of  Virginia,  vtrtiich  did  not 
recognize  common  law  marriages.  However,  the  parties  moved  to  Macon, 
Georgia  and  purchased  a  home  and  furnishings  where  they  (along  with  the 
wife's  minor  son)  lived  for  several  years.  The  husband  denied  the 
existence  of  a  common  law  marriage;  contended  that  one  could  not  have 
been  formed;  and,  concluded  that  his  affair  with  another  could  not  be 
adulterous. 


347 


The  jury  found  that  a  common  law  marriage  did  exist,  set  aside  as 
fraudulent  an  earlier  transfer  of  the  marital  residence  by  the  husband  to  his 
father,  and  gave  the  wife  alimony  for  a  period  of  years.  The  Supreme 
Court  of  Georgia  affirmed  the  judgment  for  the  wife  by  a  vote  of  four  to 
three.  Although  the  majority  did  not  comment  extensively,  the  dissenting 
opinions  strongly  criticized  the  common  law  marriage  doctrine  and 
suggested  the  need  for  the  legislature  to  consider  a  change  in  the  law. 
Thus,  the  opinion  expresses  the  concerns  of  a  significant  minority  of  the 
justices  of  the  State's  highest  Court  on  an  issue  which  significantly  touches 
on  the  marital  rights  and  responsibilities  of  Georgians. 


Date  of  Trial: 


November  9,  1988 


Co-Counsel:  For  Mae  Grandison 

Mr.  Charles  A.  Mathis,  Jr. 
Mathis,  Jordan  &  Adams,  P.C. 
425  S.  Wayne  Street 
Milledgeville,  GA  31061-3445 
Telephone:  (912)  452-9387 


Court: 


Bibb  County  Superior  Court.  Macon,  Georgia 
Honorable  Hal  Bell,  Judge 


Opposing  Counsel:  (1) 


For  Defendant  Jerome  Ridley 

Mr.  Eari  Thomas  Shaffer,  Jr. 

Shaffer  &  Combs 

550  Liberty  Savings  Tower 

210  Second  Street 

Macon,  Georgia  31201-2738 

Telephone:  (912)  746-2472 


(2)      For  Defendant  Jerome  Ridley 
Mr.  Doye  E.  Green 
Sell  &  Melton 
P.O.  Box  229 

Macon,  Georgia  31297-2899 
Telephone:  (912)  746-8521 


3)        U.  S.  V  Power  Piping  Company 
87-39-MAC 

Power  Piping  was  one  of  numerous  cases  brought  by  the  U.  ^. 
Justice  Department  through  certain  U.  S.  Attorney's  offices  throughout  the 
country,  including  the  Middle  District  of  Georgia.  Civil  and  criminal 
investigations  of  a  defaulted  nuclear  power  plant  construction  project  in  the 


348 


State  of  Washington  revealed  a  network  of  fraud  perpetrgrted  against  power 
plant  owners  by  certain  pipe  and  pipe  fitting  companies.  Victim  owners 
included  the  Georgia  Power  Compeiny,  which  operated  plants  in  Georgia, 
and  other  plants  owned  by  companies  in  Weishington,  Texas,  Louisiana^ 
etc.  I  participated  as  the  assistant  United  States  attorney  responsible  for 
prosecuting  fraud  discovered  in  connection  with  the  power  plant 
construction  within  the  Middle  District  of  Georgia. 

The  investigations  and  prosecutions  were  ceirried  out  by  interstate 
task  forces  consisting  of  selected  FBI  agents,  IRS  agents,  and  Assistant 
United  States  Attorneys  and  others.  I  was  the  sole  assistant  assigned  to 
prosecute  the  fraud  perpetrated  on  Georgia  Power  Company  at  its  new 
plant  Sherer  in  Forsyth,  Georgia  Power  Piping  Company,  a  Pittsburgh, 
Pennsylvania  corporation,  was  successfully  prosecuted  for  fraudulent  sales 
and  installations  of  approximately  one  million,  two  hundred-thirty  thousand 
dollars.  This  case,  and  those  similar  and  related,  disclosed  the  substantial 
negative  impact,  both  financially  and  in  lost  or  reduced  services,  on  vital 
public  monopolies  and  the  communities  they  served.  Upon  conclusion  of 
successful  prosecution,  which  I  handled,  Defendant  corporation  paid 
$1 ,221 ,249.80  in  restitution  and  weis  fined  a  quarter  of  a  million  dollars. 

Court:  United      States      District     Court     for     the      Middle 

District  of  Georgia 

Case  No.:      87-39-MAC 

Judge:  Honorable  Wilbur  D.  Owens,  Jr. 

Opposing  Counsel:  Mr.  Joseph  H.  Davis  (local  counsel) 
Chambless,  Higdon  and  Carson 
P.O.  Box  246 

Macon,  Georgia  31298-5399 
Telephone:  (912)  745-1181 

Thomas  A.  Donovan 
Kilpatrick  &  Lockhart 
1500  Oliver  Building 
Pittsburgh,  PA   15222-5379 
(412)  355-6466 

Disposition  Date:      December  1 4,  1 987 

4)        U.  S.    V.  Lorenzo  E.  Lacayo.  Kosta  Stanojevich.  Pedro  Enrique  Cabrera, 
and  Vincents  Pablo  Acena 
CR-86-41-MAC(WDO) 


I 


349 


This  case  involved  a  Czech  national  whose  specialty  was  arbitrage 
(large,  often  international  financial  arrangements).  This  C5ise  also  involved 
three  other  individuals,  including  two  South  Amehcan  nationals.  They  were 
charged  with  a  conspiratorial  arrangement  to  commit  bank  fraud  and  wire 
fraud  by  the  use  of  worthless  cashier's  checks  drawn  on  an  offshore  "bank" 
located  in  the  Republic  of  the  Marshall  Islands.  I  was  the  assistant  United 
States  attorney  who  supervised  the  grand  jury  investigaition  and  prosecuted 
the  case  after  indictment. 

As  background,  the  "bank"  essentially  existed  on  paper  with  only  a 
mailbox  in  the  Islands  as  an  office.  The  group  attempted  to  pass  cashier 
checks  at  a  branch  of  the  Citizens  and  Southern  National  Bank  in  Macon, 
Georgia  in  the  total  amount  of  $1 62,523.00.  Agents  of  the  F.B.I,  were  able 
to  arrest  them  in  the  act  and  confiscate  the  bogus  checks.  Jurisdiction  of 
the  two  individuals  who  had  ties  outside  of  the  United  States  was 
meiintained  through  a  complex  grand  jury  procedure.  This  procedure  was 
significant  because  there  first  had  to  be  an  investigation  which  could 
clearly  establish  that  the  "bank"  was  insolvent,  non-existent,  or  not  properly 
licensed,  before  the  fraud  could  be  established.  Several  hundred  thousand 
dollars  of  the  "bank's"  worthless  cashier's  checks  had  been  successfully 
passed  in  Rorida  and  Virginia  because  legitimate  banks  did  not  discover 
their  worthless  nature  until  weeks  or  months  after  the  checks  had  been 
fonwarded  for  payment.  This  was  so  because  the  scheme,  as  previously 
and  successfully  executed,  allowed  fraudulent  checks  to  be  recovered  by 
the  defendants  or  their  agents  and  destroyed,  leaving  no  physical 
evidence.  Since,  we  were  able  to  capture  some  major  participants,  recover 
the  checks,  and  hold  them  long  enough  to  complete  the  case  investigation, 
not  only  were  defendants  successfully  prosecuted  in  the  Middle  District  of 
Georgia,  but  it  became  possible  for  other  jurisdictions  to  prosecute  them 
as  well. 

Court:  United  States  District  Court  for  the  Middle 
District  of  Georgia 

Judge:   Honorable  Wilbur  D.  Owens,  Jr. 

Date  of  Disposition:  August  4,  1987 

Opposing  Counsel:  For  Lacayo: 

William  J.  Surowiec,  P.A. 

Public  Defender's  Office 

1320  N.W.  14th  Street 

Miami,  Florida  33125 

(305)  545-1600,  Ext.  3836 

(Pled  Guilty  to  Ct.  1  on  7/22/87.  Sentenced  on 

10/6/87.) 


350 


For  Stanojevich: 

John  M.  Kierman,  Attomey-at-Law 

2790  Calloway  Road 

Suite  100 

Miami,  Florida  33165 

(Pled  Guilty  to  Ct.  9  on  8/4/87.  Sentenced 

10/6/87.) 

For  Cabrera: 

Mr.  William  Castro,  P.A. 

Suite  601 

2153  Coral  Way 

Miami,  Florida  33145 

(Indictment  Dismissed.) 

For  Acena: 

Mr.  Mark  Eram  Frederick,  P.A. 

P.O.  Box  385 

Suite  1 ,  Destin  Professional  Center 

737  Highway  98  E. 

Destin,  Florida  32541 

Telephone:  (904)  837-2115 


5)        U.S.  V.  Curtis  Beebee 
85-20-MAC 

This  Defendant  was  prosecuted  by  me,  as  assistant  United  States 
attorney,  for  threatening  the  President  of  the  United  States  of  America  (after 
having  been  previously  charged  for  similar  offenses  and  after  commitment 
for  mental  treatment  under  relevant  federal  law  relating  to  criminal 
responsibility  of  mentally  incompetent  defendants). 

On  this  occasion  the  defendant  was  prosecuted  pursuant  to  recently 
enacted  federal  legislation  intended  to  address,  more  appropriately, 
defendants  whose  conduct  was  due  to  or  mitigated  by  mental  disesise  or 
defect,  etc.  In  prosecuting  this  defendant,  I  developed  for  the  district  the 
appropriate  and  necessary  pleadings  in  order  to  handle  the  case 
consistent  with  the  significant  law  chemges.  I  understeind  that  the 
procedure  I  developed  and  pleadings  I  prepared  were  shared  outside  the 
disthct  by  the  Secret  Service  to  aid  in  similar  prosecutions  as  the  new  law 
was  implemented  and  applied. 

Beebee  was  found  not  guilty  by  reason  of  insanity,  but  was 
committed  to  the  custody  of  the  Attorney  Genereil  of  the  United  States 
because  he  then  suffered  from  a  mental  disease  within  the  meaning  of  the 


351 

applicable  federal  commitment  statute. 

Disposition  Date:     2/12/86 

Judge:  Honorable  Wilbur  D.  Owens,  Jr. 

Opposing  Counsel:  P.  Craig  Davis 

Akin  &  Davis 


P.O.   Box  14 

Macon,  Georgia  31202-0014 

Telephone:  (912)  742-8441 


6)        U.  S.  V.  Edward  Starling 
85-16-MAC 

This  case  involved  the  prosecution  of  one  of  the  most  pervasive  and 
dedicated  mass  tax  return  frauds  prosecuted  in  the  district  by  the  IRS.  As 
the  assistant  United  States  attorney,  I  directed  a  lengthy  and  complex 
grand  jury  investigation  and  the  actual  prosecution  of  all  the  defendants 
charged. 

Starling,  with  the  assistance  of  several  co-conspirators,  operated  a 
"mobile  tax  service"  through  much  of  a  large  area  of  the  district.  He  preyed 
mainly  on  minority  wage  earners  by  telling  them  that  "the  'rich'  people  do 
it  [claim  deductions  falsely)  all  the  time."  By  showing  deductions  in  certain 
areas  of  the  return,  i.e.,  miscellaneous,  losses,  and  contributions,  etc.. 
Starling  succeeded  in  obtaining  substantial  refunds  which  he  split  50/50 
with  the  taxpayers,  minus  a  preparation  charge.  His  activities  not  only 
earned  him  several  hundred  thousand  tax  free  dollars,  but  financially 
destroyed  many  of  his  modest  and  poor  former  clients  when  the  scheme 
was  discovered  and  past  taxes,  interest  and  penalties  were  levied  against 
them  by  the  Internal  Revenue  Sen/ice. 

Starling's  scheme  demonstrated  how  vulnerable  the  IRS  was  to 
fraudulent  refund  schemes  where  the  perpetrator  had  apparent  inside 
knowledge  of  intemal  tax  return  review  and  evaluation  procedures 
employed  by  the  IRS  itself.  In  addition  to  conspiracy  and  aiding  and 
assisting  in  the  preparation  of  false  and  fraudulent  returns.  Starling  also 
pleaded  guilty  to  false  impersonation  of  an  officer  of  the  United  States. 

Court:   United  States  District  Court,  Middle  District  of  Georgia 

Judge:   Honorable  Wilbur  D.  Owens,  Jr. 


352 


Date  of  Disposition: 
Co-Counsel:  None 
Opposing  Counsel: 


December  18,  1985 


For  Starling: 

Michael  E.  Bergin 

117  West  Broad  St,  Suite  105 

Fairburn,  Georgia  30213 

Telephone:  (404)  964-5500 

Disposition  Date:  12-18-85 

For  Smith: 

W.  Ashley  Hawkins 

27  N.  Lee  Street 

P.O.  Box  325 

Forsyth,  Georgia  31029-0325 

Telephone: 

Disposition  Date:  8/13/85 

For  Linda  Thompson: 

Robert  C.  Norman,  Jr. 

Jones,  Cork  &  Miller 

500  Trust  Company  Bank  Building 

Macon,  Georgia  31298 

Telephone:  (912)  745-2821 

Charge  Dismissed:  12/30/85 

For  Davis: 

A.  Kenneth  Secret 

Secret  and  Associates 

Bona  Allen  Building,  Suite  500 

133  Luckiest.,  N.W. 

Atlanta,  Georgia  30303 

Telephone:  (404)  577-2000 

Disposition  Date:  8/5/85 

For  Mitchell: 

Michael  E,  Bergin 

215  Senoia  Rd. 

Fairburn,  Georgia  30213-1535 

Telephone:  (912)  964-5500 

Disposition  Date;  12/13/85 


7) 


United  States  v.  Willieim  Carlton  Lawson 


353 


84-19  MAC.  84-20  MAC  &  84-21  MAC 

I  supervised  the  investigation  of  these  cases  with  several  federal 
agencies.  The  cases  involved  a  Middle  Georgia  farmer  and  cotton 
warehouser  who  had  successfully  defrauded  a  financial  subsidiary  of 
Citicorp  of  more  than  four  million  dollars  through  a  sophisticated  fraudulent 
cotton  sales  scheme.  This  was  the  largest  such  loss  ever  suffered  by  the 
subsidiary  and  the  largest  such  fraud  case  to  have  been  brought  in  the 
Middle  District  of  Georgia  up  to  that  time. 

Additionally,  Lawson  was  prosecuted  for  defrauding  the  United 
States  Department  of  Agriculture.  The  criminal  investigation,  which 
followed  a  private  civil  action,  required  more  than  a  year  to  complete  and 
prepare  due  to  the  tremendous  number  of  false  documents  which  had  to 
be  traced  through  several  cotton  manufacturing  companies.  After  having 
been  confronted  with  a  mountain  of  documentary  evidence,  Lawson 
entered  a  plea  of  guilty,  and  was  sentenced  to  the  Federal  penitentiary. 

I  was  the  sole  assistant  assigned  to  prosecute  Lawson  on  all 
charges.  These  cases  disclosed  the  significant  potentieil,  and  actual, 
vulnerability  of  both  public  agencies  and  private  financial  institutions  to 
fraud  in  the  commercial  agriculture  area  where  heavy  government 
subsidies  are  often  present.  The  defendant  was  able  to  take  advantage  of 
very  complex  private  and  government  financing  arrangements  which  he 
used  to  maintain  and  conceal  his  fraudulent  conduct  and  which  resulted 
in  total  losses  of  over  six  million  dollars. 


Court:   United  States  District  Court  for  the  Middle  District  of  Georgia 
Judge:   Honorable  Wilbur  D.  Owens,  Jr. 

Co-Counsel:  none 

Opposing  Counsel:  Charles  T.  Erion 
Erion  &  Exum 
P.O.  Box  6414 
Macon,  Georgia  31208-6414 
Telephone:  (912)  742-0168 

Denmark  Groover  (Motion  for  Reduction  of  Sentence) 

Groover  &  Childs 

P.O.  Box  898 

Macon,  Georgia  31203-0898 

Telephone:  (912)  745-4712 

Disposition  Date:     September  11,1 984 


354 


8)        United  Stertes  v.  Lynwood  Fincher.  723  F.2d  862  M  1th  Cir.  1984^.  Case  No. 
83-8037 

I  prosecuted  Fincher  for  conspiracy  to  manufacture  and  deal  in 
illegally  converted  fireaums.  Specifically,  he  and  his  co-defendants  were 
prosecuted  for  converting  approximately  eighteen  (18)  semi-automatic 
Mack  10  pistols  to  fully  automatic.  Their  purpose  was  to  exchange  the 
converted  weapons  for  illegal  drugs  from  Central  or  South  American  drug 
suppliers.  They  had  learned  that  substantial  illegal  drugs  could  be 
obtained  in  exchange  for  automatic  weapons. 

The  govemment  learned  of  the  intended  activities  through  a  known 
government  informant.  At  the  request  of  the  govemment  agents 
investigating  the  case,  the  informant  met  with  Fincher  and  acted  as  his 
conduit  to  contact  other  individuals  known  to  be  willing  to  participate  in  the 
proposed  scheme.  The  informant  was  the  critical  link  between  Fincher,  the 
mastermind,  and  the  converters  and  suppliers  of  the  weapons.  Fincher 
was  convicted  upon  trial  and  appealed.  Affirmed  and  Held:  A  govemment 
informant  acting  on  behalf  of  ttie  govemment  can  be  the  necessary  link 
between  co-conspirators  who  are  otherwise  knowingly  and  intentionally 
involved  to  accomplish  the  illegal  purpose  even  though  all  the  co- 
conspirators do  not  personally  know  each  other. 

Cite:   U.S.  v  Fincher.  723  F.2d  862  (11th  Cir.  1984)  (No.  83-8037) 

Court:  U.S.  District  Court  for  the  Middle  District  of  Georgia 

Judge:   Honorable  Wilbur  D.  Owens,  Jr. 


Date  of  Disposition: 
Opposing  Counsel: 


11/2/82 

For  Fincher: 
MeU'garet  C.  Johnson 
1312Briarcliff  Rd.,  N.E.,  #11 
Atiantci,  Georgia  30306 
Telephone:  (404)  659-7799 

For  /Mden: 

W.  Ten-ell  Wingfield 

350  Second  Street 

Macon,  Georgia  31201 

Telephone:  (912)  742-0965 

Cun-ent:         Cox  Enterprises,  Inc. 


355 


P.O.  Box  105353 
Atlanta,  GA  30348-5353 
(404)  843-5844 

For  Barron: 

Thomas  Witcher 

Rich,  Bass,  Kidd  &  Witcher 

1 1 8  East  Trinity  Place 

Decatur,  Georgia  30030 

(404)  371-5050 

For  McDonald: 

Russell  M.  Boston 

Sell  &  Melton 

P.O.  Box  163 

Macon,  Georgia  31202 

Telephone:  (912)  746-8521 

For  Taylor: 

Tommy  C.  Mann 

1210  Macon  Federal  Tower 

Macon,  Georgia  31201 

Telephone:  (912)  742-3381 

For  Jackson: 

Steven  A.  Kermish 

133  Carnegie  Way,  Suite  1000 

Atlanta,  Georgia  30303 

(404)  525-0457 


9)        United  States  v.  Livinoston.  et  al 
79-00073-MAC 

This  case  is  probably  the  most  significant  and  demanding  case  that 
I  litigated.  Livingston  was  the  subject  of  a  federal  Racketeer  Influenced 
Corrupt  Organization  (RICO)  investigation  which  had  been  underway  by 
the  United  States  Attorney's  Office;  the  Federal  Bureau  of  Investigation;  the 
Internal  Revenue  Service;  the  Bureau  of  Alcohol,  Tobacco,  and  Firearms; 
and  other  federal  and  local  law  enforcement  agencies  for  several  years 
prior  to  my  appointment  as  an  Assistant  United  States  Attorney.  Because 
of  threats,  intimidation  and  fear,  all  the  local  potential  witnesses  were  aft-aid 
and  refused  to  come  fonward  or  cooperate  with  prosecution.  The  major 
defendant  had  a  reputation  for  acts  of  violence  in  the  protection  of  his 
organization  from  investigation  and  prosecution. 


356 


However,  within  months  of  my  appointment,  a  break  came  in  the 
case,  when  certain  individuals  incarcerated  in  the  State  of  Texas  indicated 
an  ability  and  willingness  to  cooperate.  My  predecessors  had  either 
resigned  or  transferred  and  as  a  result,  I  became  the  senior  attorney  for  the 
Macon  Division  eind  took  chcirge  of  the  investigation,  which  continued  for 
several  more  months.  The  difficulty  with  the  case  was  the  need  to 
interview  the  newly  discovered  witnesses  and  locate  corroborative 
witnesses  and  documentary  evidence  without  alerting  the  key  target.  This 
target  was  so  bold  that  he  actually  came  to  the  United  States  Attorney's 
Office  in  Macon  and  challenged  the  United  States  Attorney  himself  and  the 
investigators  to  "prosecute  me  or  get  off  my  [back]."  He  was  confident  that 
a  case  had  not  been  and  could  not  be  developed  against  him. 

The  investigation  succeeded,  and  the  tsirget  eind  others  were 
brought  to  trial  on  charges  including  (but  not  limited  to):  conspiracy, 
interstate  travel  violations,  tax  violations,  drug  violations,  and  extortion.  A 
conviction  was  obtained,  and  he  was  sentenced  to  the  federal  penitentiary. 
The  investigation  involved  localities  in  Georgia,  Florida,  Texas,  Louisiana, 
and  Tennessee.  Livingston  was  the  last  and  toughest  of  a  line  of  major 
criminal  organizational  heads  in  the  Middle  Georgia  area  to  be  prosecuted. 
As  a  result  of  the  successful  prosecution,  my  life  (and  the  lives  of  several 
federal  agents  and  local  law  enforcement  officers,  including  the  sheriff)  was 
threatened.  Therefore,  prosecution  of  the  case  not  only  required  a 
sophisticated  and  highly  secret  investigation,  and  involved  complex 
evidentiary  matters,  but  also  required  participants  who  were  literally  willing 
to  put  their  lives  and  personal  safety  on  the  line  in  order  to  enforce  the  law 
and  bring  these  defendants  to  justice. 

Main  case  affirmed  on  appeal  without  opinion  (habeas  corpus 
action).  United  States  v.  Livingston.  756  F.2d  884  (11th  Cir.  1985). 

Plea  of  Guilty  to  related  charge  (Case  No.  79-00071  -MAC)  reversed 
at  United  States  v.  Livingston.  665  F.2d  1003  (11th  Cir.  1982). 


Date  of  Disposition:  March  18,  1980  (79-73-MAC) 

Judge:  Honorable  Wilbur  D.  Owens,  Jr. 

Court:   U.S.  District  Court,  Middle  District  of  Georgia 


Opposing  Counsel:  For  Livingston: 


357 


Robert  B.  French 

Box  596 

Ft.  Payne,  Alabama  35967 

Telephone:  (205)  845-2250 

AND 
Floyd  M.  Buford 
165  First  Street 
Macon,  Georgia  31201 
Telephone:  (912)  742-3605 

AND 
Ms.  Daryl  Dantzler 
Attomey-at-Law 
Mercer  University  Law  School 
Macon,  Georgia  31207 
Telephone:  (912)  752-2601 

For  McPherson: 

O.  Hale  AInnand,  Jr. 
389  Mulberry  Street 
Macon,  Georgia  31201 
Telephone:  (912)  746-2237 


10)      Whitehead  v.  Hasty.  235  Ga  331,  219  S.E.2d  443  (1975). 
Bibb  County  Superior  Court,  Civil  Action  No.  43280-75. 

This  case  was  one  of  the  first  I  tried  as  an  Assistant  District  Attorney. 
It  was  an  action  for  ctvi!  injunction  by  the  District  Attorney,  in  his  official 
capacity  as  attorney  for  the  public,  for  the  purpose  of  abating  the  operation 
of  a  'massage  parior"  where  certain  sexual  acts  were  performed  by 
employees,  (not  including  actual  sexual  intercourse)  in  the  regular  course 
and  operation  of  the  business. 

This  establishment,  and  others  similar,  were  being  erected  in  the 
community  and  other  areas  but  with  substantial  protest  from  the  general 
public,  businesses,  and  residents  located  near  these  establishments.  At 
that  time  there  were  no  Georgia  criminal  statutes  which  specifically  dealt 
with  the  complained  of  activity,  and  in  fact,  a  number  of  criminal  cases  in 
other  jurisdictions  had  been  reversed  on  appeal  or  dismissed. 


\ 


358 


I  was  assigned  to  accomplish  the  cessation  of  the  conduct  which 
was  under  complaint.  Upon  investigation  and  legal  research,  I  determined 
that  the  acts  could  possibly  be  enjoined  under  existing  and  long-standing 
nuisance  statutes.  An  injunctive  action  was  filed,  served  and  tried.  The 
trial  court  found  that  a  public  nuisance  existed  and  ordered  the  same 
abated.  It  should  be  noted  that  no  attempt  was  made  either  by  the 
injunctive  action  or  the  court's  order  to  prevent  the  operation  of  a  legitimate 
meissage  business,  but  each  was  only  directed  at  the  sexual  conduct  which 
was  specifically  ordered  adaated.  However,  since  the  operators  were 
unable  to  carry  out  the  admitted  primary  purpose  of  their  business,  it 
closed.   Defendants  appealed.   Held:   Affirmed. 

Court:   Superior  Court  of  Bibb  County,  Georgia 

Judge:   Honorable  Hal  Bell 

Date  of  Disposition:  February,  1975 

Opposing  Counsel:  Richard  M.  Nichols 

(Not  now  believed  to  be  a  practicing  attorney) 


19.  Legal  Activities:  Describe  the  most  significant  legal  activities  you  have 
pursued,  including  significant  litigation  which  did  not  progress  to  trial  or  legal 
matters  that  did  not  invoh/e  litigation.  Describe  the  nature  of  your 
participation  in  this  question,  please  omit  any  information  protected  by  the 
attorney-client  privilege  (unless  the  privilege  has  been  waived). 

My  legal  career  prior  to  becoming  a  judge  has  empheeized  the 
litigation  side  of  practice.  However,  my  practice  experience  heis  been 
much  broader.  For  example,  as  a  clerk  for  the  local  district  attorney's 
office,  I  was  involved  in  extensive  research  and  writing  on  behalf  of  the 
district  attorney  and  his  attorney  staff.  This  included  drafting  appellate 
briefs.  My  brief  writing  included  the  first  petition  for  writ  of  certiorari  from 
the  Court  of  Appeals  of  Georgia  to  the  Georgia  Supreme  Court  (Wiley  v. 
State.  131  GaApp.  511,  206  S.E.2d  140  (1974)  (No.  49154).  An  adverse 
decision  of  the  appecils  court  was  reversed  involving  a  revocation  of 
probation  and  sentence  under  the  State's  First  Offender  Statute  (cite: 
O.C.G.A.  §42-8-60  et  seq.) 

In  addition  to  my  work  as  a  felony  prosecutor  for  the  district 
attorney's  office,  I  worked  regularly  in  the  Juvenile  Court  and  established 
and  administered  a  Child  Support  Recovery  Unit  in  1975,  pursuant  to 


359 


newly  passed  federal  law  intended  to  involve  district  attorneys'  offices  in 
tfie  establishment  of  paternity  and  the  enforcement  of  child  support 
obligations.  The  major  part  of  this  activity  was  to  interview  mothers  so  that 
putative  fathers  could  be  identified  and  contacted.  Contractual 
arrangements  for  support  and  affidavits  of  paternity  were  usually  obtained 
without  litigation.  Litigation  was  instituted,  when  necessary. 

As  an  assistant  U.S.  Attorney,  I  was  involved  in  numerous  sensitive 
investigations  directed  at  public  corruption  and  racketeering  organizations 
and  illegal  drug  organizations.  I  also  handled  investigations  and 
prosecutions  of  fraud  against  the  government,  including  in  the  guaranteed 
loan  area  for  the  Department  of  Education  and  cases  within  the 
responsibility  of  the  Department  of  Commerce.  In  carrying  out  these 
investigations  and  prosecutions,  I  also  worked  with  the  following  law 
enforcement  agencies:  Federal  Bureau  of  Investigation,  Drug  Enforcement 
Agency,  U.S.  Postal  Inspector,  U.S.  Department  of  Immigrations,  Internal 
Revenue  Service,  Secret  Sen/ice,  Department  of  Agriculture,  etc.,  and  local 
law  enforcement  agencies. 

In  private  practice  I  was  a  general  practitioner,  but  with  an  emphasis 
on  litigation.  I  represented  criminal  defendants  in  significant  felony  cases 
in  state  and  federal  courts  by  appointment  of  the  court  and  on  retainer. 
These  cases  included  property  and  crimes  against  persons,  bank  robbery 
and  drug  offenses. 

I  was  appointed  to  represent  a  co-defendant  in  a  federal  drug 
prosecution  which  was  reputed  to  be  the  largest  and  most  significant  to  the 
district.  Some  defendants  received  sentences  as  great  as  life  without 
parole.  My  client  was  acquitted  by  directed  verdict  on  motion  following  the 
close  of  the  government's  case  in  chief.  I  was  sole  counsel  for  that 
defendant,  who  was,  incidentally,  the  only  defendant  acquitted. 

While  in  private  practice,  I  also  represented  a  significant  local 
developer  in  a  zoning  matter  involving  a  conflict  between  local  county  and 
city  ordinances  with  superseding  federal  regulations.  The  matter  was 
resolved  in  my  client's  favor  without  litigation. 

Additionally,  since  becoming  a  Superior  Court  judge,  I  have  also 
been  involved  in  professionalism  activities  inspired  and  promoted  by  the 
Chief  Justice  of  the  Georgia  Supreme  Court,  a  member  of  the  Commission 
on  Family  Violence,  the  Committee  on  Gender  Equality,  and  the  Bench  and 
Bar  Committee.  Over  the  last  two  years,  I  have  been  a  part  of  a  drug 
abuse  task  force  in  reviewing  the  effects  of  drug  abuse  and  addiction  on 
the  resources  of  the  Court  system. 


360 


II.   FINANCIAL  DATA  AND  CONFUCT  OF  INTEREST  (PUBUC) 

List  sources,  amounts  and  dates  of  all  anticipated  receipts  from  deferred 
income  arrangements,  stock,  options,  uncompleted  contracts  and  other  future 
benefits  which  you  expect  to  derive  from  previous  business  relationships, 
professional  services,  firm  memberships,  former  employers,  clients,  or 
customers.  Please  describe  the  arrangements  you  have  made  to  be 
compensated  in  the  future  for  any  financial  or  business  interest 

If  confirmed,  I  will  resign  my  present  position  (superior  court  judge), 
and  as  a  result,  would  receive  the  following  in  addition  to  any  unpaid 
regular  salary  due  me:  $15,172.41,  as  of  February,  1994.  This  amount 
represents  my  retirement  account  in  the  Superior  Court  Judges  retirement 
fund. 


With  regard  to  my  former  firm,  Mathis,  Sands,  Jordan  &  Adams,  now 
Mathis,  Jordan  &  Adams,  P.C,  I  was  paid  a  lump  sum  representing  my 
interest  in  the  firm,  except  for  cases  originated  by  me  or  left  as  a  part  of 
my  pending  active  files,  but  retained  by  the  firm.  By  agreement  of  April  23, 
1991 ,  I  am  to  receive  10%  of  the  fees  from  those  cases  to  the  extent  the 
same  exceed  the  lump  sum  already  received.  Those  cases  have  been 
identified  and  records  are  maintained  for  payment  purposes  as  each  case 
is  closed.  Additionally,  I  own  a  one-quarter  undivided  interest  in  the 
building  and  the  lot  on  which  one  of  the  law  offices  is  located.  It  is 
expected  that  the  same  will  be  sold  to  the  remaining  partners  in  the  firm 
as  soon  as  the  details  can  be  worked  out. 

My  relationship  with  my  former  partners  is  known,  and  neither 
will  practice  before  me  until  all  ties  are  severed  and  after  an 
appropriate  time  has  passed,  unless  the  same  is  waived  by  all 
parties  after  full  disclosure,  and  there  exists  no  appearance  of 
impropriety. 

As  a  member  of  the  Board  of  Directors  of  Bank  Corporation 
of  Georgia/First  South  Bank,  N.A.,  I  own  100  shares  of  stock 
purchased  at  $10  per  share.  I  will  resign  the  Board  upon 
nomination  and  confirmation  and  would,  of  course,  recuse  myself 
fi'om  hearing  any  matters  involving  the  corporation,  affiliates, 
officers,  directors  or  any  matter  relating  thereto  which  could  give  rise 
to  actual  or  an  appearance  of  conflict. 


Explain  how  you  will  resolve  any  potential  conflict  of  interest,  including  the 
procedure  you  will  follow  in  determining  these  areas  of  concern.  Identify  the 


361 


categories  of  litigation  and  financial  arrangements  that  are  likely  to  present 
potential  conflicts-of-interest  during  your  initial  service  in  the  position  to 
which  you  have  been  nominated. 

Since  my  financiaJ,  present  and  former,  business  interests  are  very 
limited,  I  do  not  expect  frequent  conflicts,  if  any.  As  stated  above,  I  will 
recuse  myself  from  any  cases  involving  a  conflict,  or  the  appearance  of 
same.  Since  my  assignment,  if  confirmed,  will  be  in  the  Middle  District  of 
Georgia,  Albany-Americus  Division,  it  is  unlikely  that  any  actual  conflict  will 
develop  with  regard  to  my  former  law  partners  because  my  former  firm's 
federal  practice  is  limited  in  scope,  and  largely  to  the  Macon  Division  of  the 
district  which  is  handled  by  two  other  active  judges.  Likewise,  the  above 
corporation  has  only  one  branch  in  the  entire  fourteen-county  Albany- 
Americus  Division,  while  its  major  corporate  office  is  located  in  the  Macon 
Division.  However,  during  my  initial  service,  I  will  particularly  check  each 
case  for  any  evidence  of  conflict  and  take  action  immediately  to  avoid  the 
same  when  discovered.  I  will  follow  the  guidelines  of  the  Code  of  Judicial 
Conduct. 

3.  Do  you  have  any  plans,  commitments,  or  agreements  to  pursue  outside 
employment,  with  or  without  compensation,  during  your  service  with  the 
court?  If  so,  explain. 

I  have  decided  in  the  best  interest  of  the  position  to  which  I  have 
been  nominated,  and  in  fairness  to  my  present  and  former  associations, 
that  I  should  terminate  those  relationships  as  soon  as  the  same  can  be 
properly  and  reasonably  accomplished.  However,  there  are  two  possible 
exceptions.  I  have  been  named  to  the  Board  of  Visitors  of  the  Walter  F. 
George  School  of  Law  (Mercer  University).  I  would  be  honored  to  continue 
that  service,  unless  I  am  prevented  by  some  rule  or  conflict  which  becomes 
known  to  me.  Of  course,  I  would  resign,  as  so  directed,  if  any  apparent 
conflict  arose  and,  if  confirmed.  Additionally,  I  have  been  invited  to  be  a 
charter  member  of  the  Board  of  Directors  of  the  University  of  Georgia 
Fanning  Leadership  Center.  If  confirmed,  I  would  not  accept  that  position 
unless  approved  by  the  appropriate  authority. 

4.  List  sources  and  amounts  of  all  income  received  during  the  calendar  year 
preceding  your  nomination  and  for  the  current  calendar  year,  including  all 
salaries,  fees,  dividends,  interest,  gifts,  rents,  royalties,  patents,  honoraria, 
and  other  items  exceeding  $500  or  more  (If  you  prefer  to  do  so,  copies  of  the 
financial  disclosure  report,  required  by  the  Ethics  in  Government  Act  of  1978, 
may  be  substituted  here). 

See,  Financial  Disclosure  Form  attached,  dated  February  14,  1994. 

5.  Please  complete  the  attached  financial  net  worth  statement  in  detail  (Add 


362 


schedules  as  called  for). 

COMPLETED  STATEMENT  AND  SCHEDULES  ATTACHED. 

6.  Have  you  ever  held  a  position  or  played  a  rule  in  a  political  campaign?  If  so, 
please  identify  the  particulars  of  the  campaign,  including  the  candidate,  dates 
of  the  campaign,  your  title  and  responsibilities. 

No. 


363 


III.  GENERAL  (PUBLIC) 

An  ettiical  consictoration  under  Canon  2  of  the  American  Bar  Association's 
Code  of  Professional  Responsibility  calls  for  "every  lawyer,  regardless  of 
professional  prominence  or  professional  workload,  to  find  some  time  to 
participate  in  serving  ttie  disadvantaged."  DescrilM  wtiat  you  have  done  to 
fulfill  these  responsibilities,  listing  specific  instances  and  the  amount  of  time 
devoted  to  each. 

I  have  endeavored  to  comply  with  Canon  2  of  the  American  Bar 
Association's  Code  of  Professional  Responsibility  in  several  different  ways: 

Consistent  with  the  Judicial  Canons,  I  have  not  solicited  funds,  even 
for  charitable  purposes,  since  becoming  a  judge.  However,  I  have 
remained  involved  to  the  extent  that  I  could,  chiefly  by  speaking  frequently 
to  elementary,  secondary  and  college  students  regewding  various  issues 
involving  and  affecting  youth,  as  well  as  other  organizations  and  groups. 

I  have  talked  regularly  with  young  people  of  all  ages  (both  in  public 
and  private  institutions)  emphasizing  the  importance  of  avoiding  criminal 
activities  and,  hence,  its  consequences.  I  have  also  emphasized  the 
importance  of  education,  the  establishment  of  appropriette  goeds, 
dedication  to  excellence,  respect  for  self  and  others  and  personal 
responsibility. 

I  have  participated  in  the  local  bar  association's  annual  Law  Day 
activities  as  a  former  Chair  and  while  an  officer  of  the  local  bar.  This 
participation  included  establishing  a  federal  court  and  courthouse  tour  for 
school  students,  and  I  have  given  brief  talks  regarding  the  year's  ABA  Law 
Day  theme  to  similar  and  civic  groups. 


While  an  attomey,  I  also  handled  cases  for  the  elderiy  and  the 
indigent  at  lower  rates,  or  under  arrangements  that  allowed  for  flexible  fee 
payments. 

I  did  not  always  file  vouchers  for  representation  of  indigent 
defendants  represented  at  trial  and  on  appeal. 

I  have  served  on  the  following  Boards: 

Family  Counseling  Center  -  The  Center  provided  counseling  to 
indigent  and  disadvantaged  families.  The  Board  was  very  active  in 
seeking  funds,  establishing  new  programs  and  the  promotion  of 
healthy  relationships  through  a  series  of  plays  dealing  with  race 


364 


relations  and  institutional  racism,  death  and  dying,  and  alcohol  and 
drug  abuse,  etc.,  and  their  effect  on  the  family.  For  these  plays  the 
group  received  the  Volunteer  of  the  Year  Award.  I  participated  in 
dozens  of  performances  and  follow-up  discussions  which  required 
a  minimum  of  one-heilf  to  one  and  one-half  hours  to  do. 

Boys  &  Girls  Clubs  of  Macon  -  Included  fund-raising  and  special 
programs  to  improve  positive  social  and  educationsil  experiences  for 
children  within  their  communities,  especially  after  school  eind  during 
the  summer  and  holidays.  I  participated  in  several  annual  television 
auctions  which  required  several  hours  per  auction  and  additional 
hours  and  days  prior  to  and  after  completion  of  tiie  auctions. 

Kiwanis  Club  of  Macon  -  Served  as  Chair  for  two  summers  to 
provide  food  for  several  hundred  children  during  special  summer 
camp  for  children  with  psychological  problems  or  mental  illness,  etc. 
Three  separate  groups  in  one-week  blocks  were  served  each 
summer.  My  job  was  to  personally  coordinate  the  order  and 
delivery  of  food  from  suppliers  on  a  timely  and  scheduled  basis  to 
the  campsite. 

Volunteer  Macon  -  Organization  actively  sought  volunteers  from  the 
community  to  augment  agencies,  etc.,  or  organizations  which 
served  the  elderly,  youth  or  disadvantaged  or  charities.  I  served  as 
a  member  of  the  board  of  directors. 

Macon  Humane  Society  -  Worked  to  provide  and  promote  the 
humane  treatinent  of  animals.   I  served  on  the  board  of  directors. 

Macon  Symphony  -  In  addition  to  normal  support  for  the  orchestra 
and  music  in  the  local  community,  the  Board  has  endeavored  to 
make  the  music  program  available  to  youth,  public  and  private 
schools  and  the  disadvantaged.   I  serve  on  the  board  of  directors. 

Community  Foundation  of  Central  Ga.,  Inc.  -  Newly  formed 
foundation  for  the  Middle  Georgia  area  to  attract  funds  to  improve 
philanthropic  contributions  to  the  quality  of  life  in  the  community. 
Note:  I  do  not  participate  in  the  solicitation  of  funds. 

Macon  Jaycees  -  Regulsirly  put  on  programs  for  disadvantaged 
children  such  as  magic  shows,  and  provided  food  and  toys  to 
identified  needy  families.  As  a  member,  I  was  actively  involved  in 
the  preparation  phase  of  the  programming,  as  well  as  the  actual 
delivery  of  food,  toys,  etc.,  to  families. 


365 


The  American  Bar  Association's  Commentary  to  its  Code  of  Judicial  Conduct 
states  that  it  is  inappropriate  for  a  judge  to  hold  membership  in  any 
organization  that  invidiously  discriminates  on  the  basis  of  race,  sex,  or 
religion.  Do  you  currently  belong,  or  have  you  belonged,  to  any  organization 
which  discriminates  -  through  either  formal  membership  requirements  or  the 
practical  implementation  of  membership  policies?  If  so,  list,  with  dates  of 
membership.  What  you  have  done  to  try  to  change  these  policies? 

In  the  past,  I  belonged  to  the  Macon  Jaycees  (Junior  Chamber  of 
Commerce),  I  now  understand  that  at  some  time  in  the  past  the 
organization  may  have  enforced  discriminatory  membership  practices. 
However,  I  have  never  supported  such  practices  and  have  always 
supported  open  membership  without  regard  to  race,  sex,  religion,  or 
national  origin.  In  fact,  I  was  one  of  the  earliest  African-American  members 
of  my  local  chapter.  I  also  know  of  other  minority  members  and  believe 
the  organization  is  now,  and  for  many  years  has  been,  open  to  and  has 
women  members.   I  was  a  member  in  the  1970s. 

I  am  presently  a  member  of  the  Homosophian  Civic  Club,  Inc., 
which  was  originally  a  men's  club.  I  favor  the  admission  of  women.  The 
Club  is  open  to  application  from  women  and  the  constitution  either  has 
been  or  is  being  revised  to  reflect  same.  I  have  personally  offered  to 
sponsor  a  woman  candidate,  if  she  follows  through  on  her  stated  intention 
to  apply.  [See,  the  attached  copy  of  a  letter  to  me,  written  at  my  request, 
from  the  organization's  current  president] 


Is  there  a  selection  commission  in  your  jurisdiction  to  recommend  candidates 
for  nomination  to  the  federal  courts?  If  so,  did  it  recommend  your 
nomination?  Please  describe  your  experience  in  the  entire  judicial  selection 
process,  from  beginning  to  end  (including  the  circumstances  which  led  to 
your  nomination  and  interview  in  which  you  participated.). 

Yes.  My  name  was  among  others  reported  to  Senator  Sam  Nunn 
as  qualified  for  the  position  for  which  I  seel<  confirmation. 

Senator  Nunn,  the  Democratic  Senior  Senator  from  Georgia, 
appointed  a  committee  to  review  the  qualifications  of  persons  evidencing 
an  interest  in  being  appointed  to  fill  FederaU  judicial  or  U.S.  attorney 
vacancies  in  Georgia.  The  committee  was  made  up  of  a  cross-section  of 
individuals,  including  those  from  the  legal  and  business  professions. 

The  committee  prepared  and  forwarded  a 65-question  questionnaire 
to  each  person  who  had  been  recommended  or  who  had  indicated  an 
interest  in  an  appointment.  The  completed  questionnaire  was  due  not  later 
than  Friday,  April  30,  1993.    A  copy  of  the  completed  application  was 


366 


required  to  be  sent  to  each  of  the  nine  (9)  members  of  the  committee,  eind 
to  Senator  Nunn.  Thereafter,  each  applicant  was  interviewed  at  a  time 
scheduled  by  the  committee.   I  submitted  a  timely  application. 

Following  the  completion  of  interviews  for  each  vacancy  for  each 
federal  district,  the  committee  provided  to  Senator  Nunn  the  names  of  a 
number  of  persons  whom  they  believed  to  be  qualified  for  each  position. 
Senator  Nunn  later  personally  interviewed  each  person  referred  to  him  by 
the  committee  as  qualified.  Thereafter,  he  notified  his  chosen 
recommendee,  announced  and  forwarded  his  recommendations  to 
President  Clinton.  In  this  way,  I  was  recommended  for  the  vacancy  in  the 
Middle  District  of  Georgia,  Albany-Americus  Division. 

In  September  of  1993, 1  received  from  the  Office  of  the  White  House 
Counsel  copies  of  forms  required  to  be  completed,  as  a  part  of  the 
nomination  process  following  recommendation  to  the  President.  Included 
were  forms  for  submission  to  the  Department  of  Justice,  the  American  Bar 
Association,  the  United  States  Senate,  the  Federal  Bureau  of  Investigation, 
and  certain  financial  disclosures  and  waivers.  I  completed  each  requested 
document  and  fonwarded  them  to  the  Office  of  the  Counsel. 

Thereafter,  I  was  contacted  by  an  official  of  the  Department  of 
Justice  who  interviewed  me  initially  by  telephone.  It  is  my  understanding 
that  assigned  Department  of  Justice  officials  or  representatives  reviewed 
and  verified  references  and  followed  up  on  my  documentation  and 
interviewed  persons  familiar  with  me  personally  and  professionally.  I  later 
travelled  to  the  Department  of  Justice  where  I  was  personally  interviewed 
at  length  by  a  panel  of  Justice  officials. 

Prior  to  my  interview  at  the  Department  of  Justice,  I  was  personally 
interviewed  by  an  agent  of  the  Federal  Bureau  of  Investigation.  This 
interview  was  a  part  of  my  official  background  check  carried  out  by  the 
Bureau.  The  agency  had  previously  been  provided  documentation  which 
I  had  completed  for  use  in  the  investigation. 

Prior  to  my  Department  of  Justice  interview,  I  was  directed,  by  a 
Department  of  Justice  official,  to  f onward  my  American  Bar  Association 
documents  to  the  appointed  ABA  official.  I  immediately  complied  and  was 
later  personally  interviewed  in  Atlanta,  Georgia  by  an  American  Bar 
Association  representative.  A  report  was  prepared  by  the  representative 
which  was  later  fonwarded  to  the  Department  of  Justice  by  the  ABA 
Standing  Committee  on  Federal  Judiciary. 

On  February  9,  1994, 1  returned  a  personal  call  to  the  White  House 
Counsel.  During  the  call,  I  was  advised  that  the  President  had  earlier  that 
day  formally  forwarded  my  nomination  to  the  United  States  Senate  as  his 


f 


367 


nominee  to  the  United  States  District  Court  for  the  Middle  District  of 
Georgia. 

On  the  same  day,  I  was  directed,  by  an  officied  of  the  Department  of 
Justice,  to  complete  the  required  Fineincial  Disclosure  Report  and  submit 
it  to  the  Judicial  Ethics  Committee,  Administrative  Office  of  the  Courts,  not 
later  than  Monday,  February  14,  1994.  I  complied.  I  was  also  directed  to 
review  and  update,  where  necessary,  the  United  States  Senate 
Questionnaire  for  Judicial  Nominees  (the  instant  form)  for  submission  as 
soon  as  possible  in  order  that  the  Senate  Judiciary  Committee  may 
properiy  consider  my  nomination. 

At  all  times,  I  was  wamily  end  respectfully  treated  in  an  atmosphere 
and  environment  which  I  felt  was  directed  at  selecting  qualified  candidates 
for  each  position. 


Has  anyone  involved  in  the  process  of  selecting  you  as  a  judicial  nominee 
discussed  with  you  any  specific  case,  legal  issue  or  question  in  a  manner 
that  could  reasonably  be  interpreted  as  asking  how  you  would  rule  on  such 
case,  issue,  or  question?  If  so,  please  explain  fully. 

No. 


Please  discuss  your  views  on  the  following  criticism  involving  "Judicial 
activism.' 

The  role  of  the  Federal  judiciary  within  the  Federal  government,  and  within 
society  generally  has  become  the  subject  of  increasing  controversy  in  recent 
years.  It  has  become  the  target  of  l>oth  popular  and  academic  criticism  that 
alleges  that  the  judicial  branch  has  usurped  many  of  the  prerogatives  of 
other  branches  and  levels  of  government  Some  of  the  characteristics  of  this 
"judicial  activism*  have  been  said  to  include: 

a.  A  tendency  by  the  judiciary  toward  problem-solution  rather  than 
grievance-resolution; 

b.  A  tendency  by  the  judiciary  to  employ  the  individual  plaintiff  as  a 
vehicle  for  the  imposition  of  far-reaching  orders  extending  to  broad 
classes  of  individuals; 

c.  A  tendency  by  the  judiciary  to  impose  broad,  affirmative  duties  upon 
governments  and  society; 

d.  A    tendency    by    the    judiciary    toward    loosening    jurisdictional 


368 


requirements  such  as  standing  and  ripeness;  and 

e.  A  tendency  by  the  judiciary  to  impose  itself  upon  other  institutions  in 
the  manner  of  an  administrator  with  continuing  oversight 
responsibilities. 


As  a  sitting  judge,  it  has  been  my  practice  to  refrain  from  public 
comment  or  criticism  of  the  decisions  or  actions  of  judges.  This  I  have 
done  for  two  basic  reasons:  (1)  As  a  judge,  it  is  inappropriate  for  me  to 
openly  criticize  the  decisions  and  actions  of  fellow  judges  in  that  to  do  so 
would  tend  to  give  the  appearance  of  bias  or  prejudice  on  matters  in 
controversy  while  the  same  are  within  the  breast  of  the  courts  and  under 
review.  (2)  The  overall  effect  of  such  comments  could  very  well  serve  to 
reduce  respect  for  the  court  and  its  authority. 

However,  I  sincerely  respect  and  acknowledge  the  necessary  £uid 
indispensable  role  of  the  United  States  Senate  in  reviewing  and  evaluating 
the  qualifications  of  Federal  judicial  nominees.  Therefore,  I  believe  it 
appropriate  that  I  comment,  but  that  such  comments  be  limited  to  only  a 
discussion  of  my  view  and  philosophy  of  judicial  decision-making. 

Well-founded  and  reasoned  judicial  decisions  and  rulings  can  best 
develop  where  due  regard  is  given  to  legal  precedence  and  procedure. 
In  turn,  this  regard  allows  for  and  permits  the  development  of  clearly 
defined  legal  issues  considered  in  the  appropriate  jurisdiction  as  dictated 
by  the  Constitution,  by  statute  or  binding  precedent. 

I  also  believe  that  our  system  of  government  works  best,  and  as 
intended,  when  the  constitutionally  established  separation  of  powers  is 
recognized,  acknowledged,  and  allowed  to  function.  The  political  and 
legislative  processes  must  be  allowed  to  freely  proceed  and  benefit  from 
public  debate  and  discourse.  It  is  equally  important,  however,  that  every 
litigant  have  access  to  and  the  protection  of  our  courts,  consistent  with  the 
Constitution  and  with  the  laws  enacted  by  the  legislative  body  pursuant  to 
and  consistent  with  its  powers  under  the  Constitution. 

A  Federal  judge  must,  to  the  best  of  his  or  her  ability,  decide  only 
those  issues  properly  before  the  Court,  consistent  with  its  jurisdiction  as 
conferred  by  Article  III  of  the  United  States  Constitution  and  the  statutes 
passed  by  Congress  that  also  confer  additional  jurisdiction.  This  critiC2il 
process  must  be  carried  out  in  a  fair  mcinner,  based  solely  on  the 
applicable  taw  and  relevant  facts,  without  favor,  affection,  bias  or  prejudice. 
This,  without  in  any  way  suggesting  what  would  be  my  decision  on  any 
issue,  I  promise,  to  do,  if  confirmed. 


369 


<nionr:iMri.nNCHLixnNB00KagFireBr(NUQ 

OOBTDK 


uTJ     FINANCIAL  DISCLOSURE  REPORT 


aiymt  ■■|ii1i>«1  br  tha  Ctblos 
amtB^  let  of  l<n,  nb.  L.  lo. 
101-lM,     ■cmabu  10,   1M9 
(S  O.S.C.A.    1pp.    6,    fflOl-lU) 


first,  ■'^■lls  laltlAl) 


Sands.    Willie  L. 
(Preferred:   W.    Louis  Sands) 


2.  Oonrt  or  Oi^«nlTir1n« 

Untced  States  District  Court 
Middle  District  of  Georgia 


1.  Data  of  lapirt 
2/14/94 


4.  Tltla     (Irtlela  III  ]ad««  ladlcata  actln  or 
fall-  or  pirt-tliS)  ^ 

United  States  District  Court  Judge 


5.  aiinrT  Typa  (ehacfc  apptoprlata  CTpa) 
X_  ■o.ia.tKm.  ll.t.2/9/94 

talUal       laaaal       rlaal 


C.  lliorTliij  rarlod 

1/1/93  -  1/31/94 


T.  Ckaabara  or  offtca  litclnm 

Bibb  Superior  Court 

Room  310  Bibb  County  Courthouse 

Macon,  Georgia  31201 


■.  Ob  tka  baala  of  tha  lafm 
la,  la  af  oplaloa,  la  oa 


■atlaa  mnTalnail  la  thla  »a|iort.  It 
pllaaoa  wltb  appllcahla  lawa  aad 


aaviaiflag  Offlcar  Slgaatara  , 


^slMPORXANT  JfOro&^n^^'^Mniiafara  joo^^  must  be  fiiBowed.   Complete 

,'riifrirfm  the  NONE  toe  fcc  esdi  secfloo' where  wm  hare  no  tmortaUe  lalbraiatioa.  Sign  onUm 


'X'\\  -^■f^^'^f^pMr'.^ 


I.     POSITIONS.     (RqKming  individual  only;  see  pp.  7-8  of  Instrnctions.) 

POSITION  NAME  OF  ORGANEATION/ENTrTY 


n 


NONE      (So  rapuctabla  poaltlooa) 


Member 


Member 


Board  of  Visitors.   Walter  F.   George  School   of  Law  fe 
Dean  Search  Committee   &   Executive  Committee  of  Alumn: 

Mercer  Dnlverslty  Planning  Committee   for   30th  Year  of 
Black  Enrollment 
(cont'd) 


II.    AGREEMENTS.     (Reporting  individual  only;  see  p.  8-9  of  Instructions.) 
DATE  PARTIES  AND  TERMS 


'I NONE       (lo  raportaals  agi 

4/23/91 


Stock  purchase  agreement  which  provides  that  seller  be  paid  the  greater 

nf    a     lump     sum    nr     Ifll    nf    all f»»g    affnalTy    i-pppivpH     frnm    rho     final     H<spn- 

sition  of  Identified  cases  in  which  seller  had  an  interest  at  time  of  re- 

. Signarinn    frnm    firm ParM-gg;    U.     T.nnig    SanHs.     Spllgr.    Marhi«:.     .TnrHan.     (. 

Adams.    P.    C.    (formerly  Mathis.    Sands.    Jordan   &   Adams.    P.    C).    Charles   A. 
Mathis.    Jr..    T).    .lames    Jordan   and   Virgil    Adams.    Purchasers. 

III.     NON-INVESTMENT  INCOME.     (Reporting  individcal  and  spouse;  see  pp.  9-12  of  Instructions.) 


n 


DATE 
(Honoraria  only) 


SOURCE  AND  TYPE 

NONE       (lo  raportabla  aoa-lavaataai 


1/93  -  12/93 


Superior  Courts  of  Georgia 


I 
1/93  - 

12/93 

1 
1/93  - 

12/93 

4 

1/93  - 

12/93 

Bibb  County  Commissioners  (county  supplement) 


GROSS  INCOME 
(youis,  not  spouse's) 


$  72,494.03 


1  /PT  -  17/93 


Crawford  County  Commissioners  (county  supplement) 
Peach  County  Commissioners  (county  supplement) 

Steward  Chaoel  A.M.E.  Church  (organist) 


S  17,250.06 

S  1,153.80 

S  3,532.86 

S    600.00 

370 


^i*,,.-^..- 


tnnASCsM- 


DISCLOSURE  REPORT  (cont'd) 


I  o(  I 


Willie  L.    Sands 


Dsto  oC  ■■port 
2/1A/94 


iw    REIMBURSEMENTS  and  GIFTS  -  transportation,  lodging,  food,  entertainment 

(Lodada  Ihoce  to  cpoose  and  dependent  chlldrcK  nse  the  paicntbedeals  '(S)'  and  '(DC)'  to  indlcMe  reportalile 
rdmborscmenis  and  gifts  recdTcd  tj  tpouse  and  dependent  children,  respecthciy.   See  pp.13-15  of  Inmncllaas.) 


SOURCE 
NONE      (Bo  rack  CTgnrtjhU  rail 
"EXEMPT" 


a 


DESCRIPTION 
(tftal 

"EXDIPT" 


V.     OTHER  GIFTS.     (Indndes  thoM  to  cpoose  and  drnendmt  cUUrcn;  nae  the  paitatheticals  '(S)*  and  *(DC)*  to 
Indkalr  other  gifts  iecei»ed  by  spoosc  and  oepeadent 


D 


SOURCE 

NONE       (ao  rack  nvorubla  (Ittal 
"EXEMPT" 


fWMren,  tespectHc^y*  See  pp.i5-i6  of  Instmctloaaa) 
DESCRIPTION  VALUE 


"EXEMPT" 


"EXDIPT" 


VI.     UABIUTIES.     (Indodcs  those  of  spouse  and  dependent  children;  faidicate  where  applicable,  person  responsibie 
for  UabililT  br  using  the  parenthetical  '(S)'  for  sepanlc  Uabilitf  of  spouse,  '(J)'  for  Joint  liabilily  of  reporting 
individual  and  spmue,  anT^(DC)*  for  liabiUtjr  of  a  dependent  diUd.  ^ce  pp.i^l8  oTInstenctioas.) 


CREDFTOR 
NONE      (ao  raporubla  llabtlltlral 
Lincoln  National   Insurance  Co. 


n 


DESCRIPTION 


Personal   loan  fron  cash  value   of   Ins. 


VALUE    CODE* 


•  .mun  I 


a  -  «U,0«e  or  lara 

«  -  S3M,001  »  s»oa,ooo 


o  •  ss«o,ooi  to  n.ooo.ooo 


%l,9C0,00Q 


371 


pn^ANClAl. 


DISCUSSURE  REPORT  (cont'd) 


Maa  oC  P«c«aa  9myiirttmg 

Willie  L.    Sands 


Outm  ot  lltinrt 

2/14/94 


t/ii    irjVESTMENTS  and  TRUSTS  -  income,  value,  transactions,    (indnda  ttwie  or 

VII-  and  drprndrnt  cfaUdrai;  see  pp.  IS-Z7  of  lutmctiaat.) 


(CcfSfagcri 

IM  lAdPiaSI  «a4  ■uawK^^Ci*  tor 
^  «Bi^c  UM  pnoc  u*cIosur*. 


"sis? 

VPf} 


^-. 


J  valM 
at  *ad  ot 


Cod* 


''Craxtvao^oaa  during  rvportlag  period 


»^ui. 


-ir; 


^roM  dlacloanrm 


uoatb 


<3) 

coda' 


S5i 


n 


NONE    (■. 


— af ,   OC 


^  100  shares  of  common  stock 


ig 


Bank  Corporation  o 


rss. 


E  ]   E 


M  P 


Superior  Court  Judges  Re-^ 
tlrement  account  (unvested) 


E      C     E 


M     P 


T  •• 


'  iundlvided   Interest    in  bdlg 
i   lot    -   Baldwin   County,    Ga 


C     E 


M     P 


■a/Cala  < 
Col.  »1  t  P4I 


^•$1,000  or  Immm 

t-sis.oei  to  iso.aoo 


■•$1,001  to  »,soe 

iSO.OCl   to  tlOO.flOO 


<:-*z,sai  to  s.ooo 

-  ItOO.OOl  tn  SI 


ligiT    nig*«^tr»!^?88i°°'  iS3ia.arti'iggt8SS 


0-*S,001  to  $15,000 


taoo  Col,  ci  4  Oil 
3  valao  Motboo  Coda*: 


J>il9,000  or 
ll-$2S0.001    to  S500.OOO 
Q'Appralaal 


t.{U:Mt  to  IM, 

OSSOO.OOI    to  tl. OOP. OOP 

(•coat  (raal  aatato  our) 


OaI 


-Hook  Valua 


ifcEatlaatad 


TaCaah/MarkM 


372 


,  DISCLOSURE  REPORT  (cont'd) 


Willie  L.   Saads 


Dtta  sf  Baiact 

2/U/9it 


y,,/    ADDITIONAL  INFORMATION  or  EXPLANATIONS,    dndiote  pot  or  Report.) 

VI  1.  -  This  is  a  loan  from  the  cash  value  of  one  of  my  personal  Insurance  policies.  A  net 

cash  value  remains  after  deducting  the  full  amount  of  the  loan. 

VII  2.  -  This  is  the  expected  distribution  from  my   retirement  account  upon  resignation  of 
my  present  position,  if  confirmed. 

3.  -  I  am  the  owner  of  i  undivided  interest  In  the  lot  and  building  upon  which  one  of 


the 

offices  of  m> 

former 

law 

firm  is 

located.   I  expect  to  dls 

pose 

of 

my 

Interest 

in 

said 

property 

as 

soon 

as 

Che  sane 

is  reasonably  practical 

for 

all 

parties. 

I 

have  no 

Interest 

in 

the 

firm 

itself 

except  as  set  out  in  Part 

II. 

above. 

IX.    CERTIFICATION. 

In  compliance  with  the  provisions  of  28  U^.C  S  455  and  of  Advisory  Opinion  No.  57  of  the  Advisory  Committee  on 
Judicial  Activiiies,  and  to  the  best  of  my  knowledge  at  the  time  after  reasonable  inqniiy,  I  did  not  perfbnn  any  adjadicatoiy 
function  in  any  litigation  during  tbe  period  covered  by  this  rqx>rt  in  which  I,  my  spouse,  or  my  minor  or  dependent  children 
bad  a  financial  interest,  as  defined  in  Canon  3C(3)(c),  in  the  outcome  of  such  Uligation. 

I  oenily  that  all  information  given  above  (including  information  pertaining  to  my  spouse  and  minor  or  dependent  children, 
if  any)  is  accurate,  true,  and  complete  to  the  best  of  my  knowledge  and  belief,  and  that  any  information  not  reported  was 
withheld  because  it  met  applicable  statutory  provisions  permitting  non-disclosure. 

I  further  certify  that  earned  income  from  outside  employment  and  honoraria  and  the  acceptance  of  giAs  which  have  beeii> 
reported  are  in  compliance  with  the  provjsie^  of  S  U.S.C.A.  app.  7,  §  501  et  seq.,  5  U.S.C  S  7353  and  Judicial  Conference 
regulations. 


Signature 


Due 


2/14/94 


NOTE:     ANY  INDIVIDUAL  WHO  KNOWINGLY  AND  WILFULLY  FALSIFIES  OR  FAILS  TO  FILE  THIS  REPORT 
MAY  BE  SUBJECT  TO  CIVIL  AND  CRIMINAL  SANCnONS  (5  U.S.CA.  APP.  6,  {  104,  AND  18  VS.C.  i  1001.) 


.  i^>. 

'.<:.■-.             .           t,->^^f        -     -^'--i..'     _^-,j,,       . 

UCnONS: 

FDLINOINSTR' 

MaB  agned  origituil  and  3  additional  copies  to: 

JodicSflJ  Eiliics  Coimniitee 
Admlnlitnillvo  Offloe  of  the 

United  States  Courts 
Washingtrtn,  DC  20544 

373 


•  >  vcflLOSOSE  REPORT  (cont'd)     Name:  Willie  L.   Sands 


Date:  2/14/94 


I. 

POSITIONS  (cont'd) 

Member 

Member 

Member 

Member 

&  Vice  Fres. 

Member 

Member 

Member 

III. 

NON-INVESTMENT  INC 

6. 

1/93  -  12/93 

7. 

1/93  -  12/93 

8. 

1/93  -  12/93 

9. 

1/1/93  -  1/31/94 

0. 

1/1/93  -  1/31/94 

1. 

1/1/93  -  1/31/94 

2. 

1/1/93  -  1/31/94 

3. 

1/1/93  -  1/31/94 

4. 

1/1/93  -  1/31/94 

Board  of  Directors,  City  Club  of  Hacon 

Board  of  Directors,  Comsunlty  Foundation  of  Central  Georgia 

Board  of  Directors,  First  South  Bank  of  Middle  Ga./Bank  Corp. 
of  Ga. 

Georgia  Commission  on  Family  Violence 

Georgia  Supreme  Court  Task  Force  on  Substance  Abuse 

Board  of  Directors  of  Macon  Symphony 

Board  of  Directors  of  Midsummer  Macon  (term  ended  -  1993) 


First  South  Bank  of  Middle  Ga.  (Director) 


$  4,250.00 


WMAZ-TV  (Weather  Caster /Community  Services 

Director)   (S)  $26,795.10 

Robert  Cummlngs  d/b /a  Reflections  Promotion  (S)  $  1,055.00 


Superior  Courts  of  Georgia 
Crawford  County  Commissioners 
Peach  County  Commissioners 
Bibb  County  Commissioners 
First  South  Bank  of  Middle  Ga. 
WMAZ-TV  (S) 


$  6,112.00 
$  115.38 
$  333.33 
$  1,750.00 
$  750.00 
$  2.640.00 


374 

FINANCIAL  STATEMENT 
NET  WORTH         i 


Provide  a  complete,  current  financial  net  worth  statenient  which  itemizes  in  detail  all  assets  (including  b 
•  cecums.  m\  estate,  securities,  trusts,  investments,  and  other  financial  holdings)  all  liabilities  (including  de 
mortgages,  loans,  and  other  financial  obligations)  of  yourself,  your  spouse,  and  other  immediate  member 
your  household. 


ASSETS 

UABI'JTIES 

Cjih  on  hsnd  and  In  banKi 

1        A202 

80 

Notts  piytbl*  to  banks — Mcurtd 

Not**  parabi*  to  bank»— un»*cui»d 

Notn  payibia  to  rtUt>v«s 

Notts  payabla  to  othara 

Accounts  and  bills  due 

Unpaid  Incoma  tax 

Othar  unpaid  tas  and  Intamt 

Raal  ntata  ntortsagvi  payabia — add 
»ch^dula 

Chattel  mortsates  and  olhar  Ham 
pajrcbla 

Othar  debts — Itemize: 
Educational   loan    (spouse) 

20021 

3b 

U.S.  Co»»fnmtnt  ••cundri — add 

1           200 

00 

1106 

1$ 

00~ 

UiJ»d  veeuriBe* — »dd  tch»doU 

3000 

— 

Unllrt»d  Mcuf1li« — idd  »d»»dul« 

1000 

UU 

14382 

97 

""• 

Account!  «nd  noln  recatvabla: 

- 

~* 

Out  (roin  ralttivn  and  tri*ndi 

_ 

Out  from  o<h€re 

91811 

90 

Doubtful 

111777 

50 

8437 

82 

ftui  rtUtc  mortC>ff*=*  r*c«lv«bU 

94^53 

75r 

85 

1 

>U/toi  4r>d  olfitr  p4r»onal  property 

5682 

79' 

8909 

1 

1 

unpaid    salary  due   from 

7000 

nn 



retirement    account 

15172 

41 

ToUl  lUbilities 

Net  Monh 

Toal  liablllUei  and  net  worth 

144443 

02 

98272 

94   i 

Toui  itun 

242715 

56 

242715 

96 

CX)NnNCCt<T  UABILITItS 

20 

GENERAL  INFORMATION 

Ai  •ndorMr,  comaker  or  cutranlor 

769 

Are  any  assets  pledged?  (Add  sched- 
ule.)    Yes. 

Are  you  defer>dam  In  arry  suits  or 
t«S»i  actlonsrYes ,    Child   supp 

Have  you  vmr  taken  baniuvpicyr    No. 

8437 

87! 

On  I*ji4i  or  cont/icu 

jrt  modi 

Lecel  CUims 

icatic 

Provision  lor  r»d«ril  'nccm*  T«i 

Ottiar  ip^lil  dtbt 

■ 

- 

imcHCff:  nm  n.  nwm  nnMDcanjcroFiiBBrirwQ 

ousnois 


375 


FINANCIAL   STATEMENT 
NET  WORTH 


SCHEDULES: 

1,)  U.  S.  Govenunent  securities  -  U.  S.  Savings  Bonds 

2.)  Unlisted  securities  -  100  shares  common  stock.  Bank  Corporation  of  Ga. 

3.)  Real  Estate  Owned: 

a)  house  and  lot,  Macon,  Bibb  County,  Georgia 

b)  J  undivided  interest  in  building  and  lot  Milledgeville, 
Baldwin  County,  Georgia 

4,)  Real  Estate  Mortgages  payable: 

a)  home  mortgage:  $45,127.62  * 
equity  line     32,434.28  ** 

b)  i   of  mortgage  on  building  &  lot:  $14,250.00*** 

*Flrst  Union  Mortgage  Corporation 
**Flrst  Union  National  Bank  of  Georgia 
***Century  Bank  i  Trust 

5.)  Pledged  assets: 

a)  1993  Volvo  (i/c/w  its  purchase,  i.e.  bank  note) 

b)  grand  piano  * 

c)  some  furnishings* 

♦Pledged  1/c/w  Associates,  First  Family  Financial  Services, 
&  Yamaha  Music  Finance 


NOMINATION  OF  MICHAEL  BROMWICH,  TO  BE 
INSPECTOR  GENERAL,  U.S.  DEPARTMENT 
OF  JUSTICE 


FRIDAY,  APRIL  22,  1994 

U.S.  Senate, 
Committee  on  the  Judiciary, 

Washington,  DC. 

The  committee  met,  pursuant  to  notice,  at  11:04  a.m.,  in  room 
SD-226,  Dirksen  Senate  Office  Building,  Hon.  Dianne  Feinstein 
presiding. 

OPENING  STATEMENT  OF  SENATOR  FEINSTEIN 

Senator  Feinstein.  The  Judiciary  Committee  will  come  to  order. 
This  morning,  the  committee  will  conduct  a  hearing  on  the  nomina- 
tion of  Michael  Bromwich  to  be  Inspector  General  of  the  Depart- 
ment of  Justice. 

Let  me  say  for  the  record  that  the  nominee  has  completed  a  very 
detailed  questionnaire  on  his  qualifications,  his  experience,  his  fi- 
nances, and  his  philosophy.  The  portions  of  the  questionnaire  avail- 
able to  the  public  will  be  printed  in  the  record  of  this  hearing.  We 
will  also  keep  the  record  open  for  a  limited  time  just  in  case  mem- 
bers of  the  committee  would  like  to  submit  written  questions. 

We  have  received  dozens  of  letters  in  support  of  this  nomination. 
We  will  place  these  letters  in  the  record,  also. 

[See  letters  in  support  of  Michael  R.  Bromwich,  p.  444.] 

Of  course,  we  will  place  in  the  record  any  introductory  state- 
ments. At  this  time,  I  would  like  to  enter  into  the  record  a  state- 
ment of  Senator  Orrin  Hatch,  the  ranking  minority  member  of  this 
committee,  and  a  statement  by  Senator  Daniel  Moynihan  on  the 
nomination  of  Michael  Bromwich.  These  two  statements  will  go 
into  the  record. 

[The  prepared  statements  of  Senator  Hatch  and  Senator  Moy- 
nihan follow:] 

Prepared  Statement  of  Senator  Orrin  G.  Hatch 

The  Judiciary  Committee  today  considers  the  nomination  of  Michael  Bromwich  to 
be  Inspector  General  of  the  Department  of  Justice. 

The  Inspector  General's  duties,  as  set  forth  in  Attorney  General  Order  1638-92, 
dated  December  11,  1992,  relate  essentially  to  allegations  concerning  waste,  fraud, 
and  abuse  at  the  Department  of  Justice,  or  by  the  Department's  contractors  grant- 
ees or  other  recipients  of  Departmental  benefits. 

Another  office,  the  Office  of  Professional  Responsibility  (OPR),  handles  allegations 
of  prosecutorial  misconduct  or  unethical  conduct  by  Department  lawyers  and  allega- 
tions of  misconduct  by  investigative  and  law  enforcement  personnel  at  the  Depart- 
ment. 

(377) 


378 

In  my  view,  keeping  OPR  separate  from,  and  independent  of,  the  Inspector  Gen- 
eral's office  is  very  important.  The  Attorney  General  should  be  able  to  turn  to  an 
independent  office,  headed  by  a  nonpolitical,  career  lawyer,  reporting  directly  to  the 
Attorney  General.  Accordingly,  I  was  troubled  by  reports  that  Attorney  General 
Reno  was  considering  the  merger  of  the  two  offices. 

Following  correspondence  from  myself  and  several  of  my  Republican  colleagues  on 
the  committee,  I  was  pleased  to  receive  an  April  5,  1994,  letter  from  Attorney  Gen- 
eral Reno  in  which  she  advised  me  that  she  had  "determined  not  to  merge  the  [two 
offices]  or  in  any  other  way  to  place  OPR  under  the  supervision  of  the  IG. ' 

Attorney  General  Reno  added,  "I  am  convinced  that  the  continued  separation  of 
the  functions  and  responsibilities  of  these  two  components  will  help  to  ensure  that 
we  maintain  the  highest  standards  of  professionalism  within  the  Department." 

I  construe  these  remarks  as  meaning  that  OPR  will  retain  its  current  responsibil- 
ities as  well  as  its  status  as  a  separate  office. 

I  look  forward  to  the  nominee's  testimony. 

Prepared  Statement  of  Senator  Daniel  Patrick  Moynihan 

Mr.  Chairman,  it  is  my  great  pleasure  to  introduce  Michael  Bromwich  to  this  hon- 
orable Committee.  I  believe  he  will  be  an  outstanding  Inspector  General  at  the  De- 
partment of  Justice. 

Mr.  Bromwich's  credentials  are  exemplary.  He  spent  almost  ten  years  at  Harvard 
University,  graduating  in  Social  Studies  from  Harvard  College  summa  cum  laude, 
receiving  a  Master  of  Public  Policy  Degree  from  the  John  F.  Kennedy  School  of  Gov- 
ernment, and  receiving  his  law  degree  from  the  Harvard  Law  School. 

He  has  worked  in  the  Criminal  Division  at  the  United  States  Attorney's  Office  in 
the  Southern  District  of  New  York,  served  as  an  Associate  Counsel  and  Special 
Counsel  in  the  Office  of  Independent  Counsel  for  the  case  of  United  States  v.  Oliver 
North,  and  was  a  partner  in  the  law  firm  of  Mayer,  Brown  and  Piatt.  Mr.  Bromwich 
was  the  first  non-New  York  lawyer  admitted  to  the  New  York  Council  of  Defense 
Lawyers.  Although  he  is  originally  from  California,  New  York  is  proud  to  claim  him. 
He  currently  serves  as  Assistant  to  the  Attorney  General  at  the  Department  of  Jus- 
tice. 

Many  distinguished  Americans  have  endorsed  Mr.  Bromwich.  Leonard  Garment 
describes  him  as  "an  able  and  vigorous  prosecutor."  New  York  City  Mayor  Giuliani 
characterizes  him  as  "a  consummate  professional:  fair,  objective  and  reasonable." 

Mr.  Chairman  and  members  of  the  Committee,  I  am  pleased  to  recommend  Mi- 
chael Bromwich  to  you,  and  to  urge  his  speedy  confirmation. 

Senator  Feinstein.  Although  I  have  a  statement,  I  would  like 
very  much  to  defer  and  I  would  like  to  introduce  Representative  El- 
eanor Holmes  Norton  and  ask  you  if  you  would  care  to  make  an 
opening  statement  of  introduction. 

STATEMENT  OF  HON.  ELEANOR  HOLMES  NORTON,  A 
DELEGATE  IN  CONGRESS  FROM  THE  DISTRICT  OF  COLUMBIA 

Delegate  Norton.  Thank  you,  Madam  Chairperson.  I  do  not 
need  to  tell  you  that  the  Inspector  General  of  the  Justice  Depart- 
ment should  be  a  person  of  unusually  high  integrity,  great  inde- 
pendence, deep  experience,  and  keen  intellect.  That  is  a  description 
of  Michael  Bromwich,  whom  I  am  happy  to  recommend  to  you. 
Madam  Chairwoman,  today. 

Michael  Bromwich  is  a  Harvard  College  Phi  Beta  Kappa.  He 
then  went  on  to  Harvard's  John  F.  Kennedy  School  of  Government, 
where  he  earned  his  master's  in  public  policy,  and  then  to  the  Har- 
vard Law  School.  Mr.  Bromwich  has  extensive  and  varied  legal  ex- 
perience of  the  kind  that  will  hold  him  in  good  stead  in  the  position 
for  which  the  President  has  nominated  him. 

He  has  had  extensive  experience  as  a  U.S.  attorney  in  the  South- 
ern District  of  New  York.  He  has  practiced  here  in  the  firm  of 
Mayer,  Brown  and  Piatt,  where  he  participated  in  complex  litiga- 
tion, including  white  collar  crime  and  related  matters,  and  the  su- 
pervision of  internal  corporate  and  organizational  investigations. 


379 

We  are  proud  that  he  took  the  leadership  in  his  law  firm  in  devel- 
oping a  pro  bono  program  for  the  representation  of  indigent  defend- 
ants in  the  District  of  Columbia's  Superior  Court. 

Mr.  Bromwich  was  special  counsel  at  the  Office  of  Independent 
Counsel  during  the  Iran-Contra  hearings.  He  had  substantial  re- 
sponsibility for  key  parts  of  that  investigation.  He  handled  the  pre- 
trial proceedings  for  the  immunized  testimony  of  John  Poindexter. 
He  represented  the  Independent  Counsel's  Office  in  the  remand 
proceedings  in  U.S.  v.  Oliver  North  and  tried  that  case. 

In  the  District,  we  are  particularly  proud  that  this  talented 
young  man  and  his  young  family  live  here,  although  I  concede  that 
he  was  born  in  California  and  his  parents  are  still  your  constitu- 
ents, Madam  Chairwoman.  With  him  here  today  are  his  wife, 
Felice;  his  son,  Daniel,  who  is  7;  his  son,  Jonah,  who  is  4.  I  am 
sorry  to  report  that  1-year-old  Kira  had  to  be  left  home  because  of 
age.  In  any  case,  we  are  very,  very  pleased  that  he  lives  here  and 
that  the  President  has  chosen  to  nominate  him.  I  strongly  rec- 
ommend Michael  Bromwich  to  you.  Madam  Chairwoman. 

Senator  Feinstein.  Thank  you  very  much.  Representative  Nor- 
ton, and  welcome  to  this  House.  As  you  probably  know,  I  am  a  big 
fan  of  yours  and  so  I  enjoy  watching  you  in  the  House  of  Rep- 
resentatives, and  I  thank  you  very  much  for  taking  time  to  be  here 
this  morning. 

Ms.  Norton.  Thank  you  so  much. 

STATEMENT  OF  SENATOR  FEINSTEIN 

Senator  Feinstein.  Now,  I  would  like,  as  the  Senator  from  Cali- 
fornia, to  make  a  few  introductory  remarks.  I  am  very  pleased  to 
also  join  with  Ms.  Norton  in  introducing  Michael  Bromwich,  a  na- 
tive of  California.  He  has  been  nominated  by  the  President  to  serve 
as  inspector  general  at  the  Department  of  Justice. 

The  inspector  general,  who  supervises  a  nationwide  field  struc- 
ture of  more  than  400  employees,  is  responsible  for  investigating 
allegations  of  Department  of  Justice  employee  misconduct  and  for 
preventing  waste,  fraud,  and  abuse  in  the  Department's  component 
operations  and  contracts  through  inspections  and  audits. 

I  won't  repeat  what  Ms.  Norton  has  said,  but  Mr.  Bromwich  was 
bom  in  Los  Angeles  in  1953.  He  attended  University  Elementary 
School  in  Westwood  and  James  Madison  Junior  High  School  in 
North  Hollywood.  He  graduated  from  Ulysses  S.  Grant  High  School 
in  North  Hollywood  and,  as  a  high  school  student,  took  courses  at 
UCLA.  Then  he  went  to  a  minor  college,  known  as  Harvard,  some- 
where on  the  east  coast.  He  then  returned  to  California  to  work 
each  summer,  and  as  a  Harvard  law  student  he  worked  two  sum- 
mers at  the  Los  Angeles  firm  of  Irell  and  Manella. 

His  mother  and  father,  Leo  and  Rose  Bromwich,  each  emigrated 
to  the  United  States  as  a  teenager.  His  father  earned  a  doctorate 
degree  in  California.  This  is  your  father,  I  believe. 

Mr.  Bromwich.  This  is  actually  both  of  them.  Senator, 

Senator  Feinstein.  Both  of  them  earned  doctorate  degrees? 

Mr.  Bromwich.  Yes. 

Senator  Feinstein.  Both  earned  doctorate  degrees  in  California 
and  taught  for  many  years  in  the  California  State  university  sys- 
tem. They  have  resided  for  more  than  30  years  in  Van  Nuys,  CA. 


380 

As  Ms.  Norton  pointed  out,  Mr.  Bromwich  is  an  attorney  with 
considerable  experience  in  Federal  law  enforcement.  He  is  well 
qualified  to  serve  as  the  inspector  general  at  Justice.  She  men- 
tioned his  undergraduate  work  at  Harvard,  his  master's  degree  in 
public  policy  from  the  Harvard  John  F.  Kennedy  School  of  Govern- 
ment, and  a  law  degree  from  Harvard. 

After  3  years  in  private  practice,  he  became  a  Federal  prosecutor 
in  the  Southern  District  of  New  York.  He  served  there  from  1983 
to  1986.  He  became  chief  deputy  and  then  chief  of  the  narcotics 
unit.  You  heard  about  his  prosecution  as  a  member  of  Lawrence 
Walsh's  staff  in  the  Iran-Contra  investigation.  Since  1989,  he  has 
been  a  partner  in  the  Washington,  DC,  law  firm  of  Mayer,  Brown 
and  Piatt,  where  he  has  specialized  in  white  collar  criminal  defense 
work. 

Mr.  Bromwich  was  nominated  to  serve  as  IG.  The  committee,  I 
must  say,  has  received  numerous  letters  from  experienced  law  en- 
forcement officials,  and  I  think  these  letters  attest  to  his  intel- 
ligence, his  professionalism,  his  honesty,  and  his  nonpartisan  ap- 
proach to  Federal  law  enforcement. 

I  am  very  pleased  to  welcome  you,  Mr.  Bromwich,  and  would  ask 
that  you  perhaps  introduce  your  family  directly  to  the  committee. 

Mr.  Bromwich.  Thank  you  very  much.  Madam  Chairperson.  As 
Ms.  Norton  indicated,  with  me  today  is  my  wife,  Felice  Friedman, 
who  is  a  lawyer  with  the  Office  of  International  Affairs  of  the  Secu- 
rities and  Exchange  Commission.  In  the  blue  jacket  is  my  son, 
Daniel,  who  is  7  years  old  and  will  be  8  in  July. 

Senator  Feinstein.  Hi,  Daniel. 

Mr.  Bromwich.  The  fellow  in  the  green  shirt  is  my  son,  Jonah, 
who  will  be  5  next  month. 

Senator  FEINSTEIN.  Hi,  Jonah. 

Mr.  Bromwich.  And  he  may  tell  you  May  10th  is  his  birthday. 

Senator  Feinstein.  Happy  birthday. 

Mr.  Bromwich.  In  the  interests  of  minimizing  disruption  to  the 
hearing,  we  have  left  their  1-year-old  sister,  Kira,  at  home,  but  she 
will  be  fully  briefed.  [Laughter.] 

Senator  Feinstein.  Thank  you.  We  will  now  begin.  Would  you 
please  stand  and  raise  your  right  hand?  Do  you  swear  that  the  tes- 
timony you  will  give  in  this  proceeding  will  be  the  truth,  the  whole 
truth  and  nothing  but  the  truth,  so  help  you  God? 

Mr.  Bromwich.  I  do. 

Senator  Feinstein.  Thank  you.  Would  you  like  to  make  an  open- 
ing statement  to  the  committee? 

TESTIMONY  OF  MICHAEL  R.  BROMWICH,  TO  BE  INSPECTOR 
GENERAL,  U.S.  DEPARTMENT  OF  JUSTICE 

Mr.  Bromwich.  Just  very  briefly.  Madam  Chairperson,  I  want  to 
express  my  appreciation  to  the  Chair  for  holding  this  hearing 
today.  I  want  to  note  that  I  am  deeply  honored  to  have  been  nomi- 
nated to  this  position  by  President  Clinton.  I  look  forward  to  work- 
ing with  the  Congress  and  with  the  leadership  of  the  Department 
of  Justice  in  being  the  absolute  best  inspector  general  that  I  can 
be. 


381 

QUESTIONING  BY  SENATOR  FEINSTEIN 

Senator  FEINSTEIN.  Mr.  Bromwich,  your  questionnaire  indicates 
that  while  you  served  in  the  office  of  U.S.  attorney  for  the  Southern 
District  of  New  York,  you  were  deputy  chief,  as  I  stated,  and  then 
chief  of  the  narcotics  unit.  It  also  states  that  you  served  as  associ- 
ate counsel  and  special  counsel  for  the  Office  of  Independent  Coun- 
sel on  the  Iran-Contra  investigation. 

How  do  you  believe  that  these  investigations  and  your  manage- 
ment background  prepare  you  for  this  office? 

Mr.  Bromwich.  Madam  Chairperson,  I  spent  roughly  7  years  in 
Federal  law  enforcement,  as  you  pointed  out,  first  with  the  U.S.  at- 
torney's office  in  the  Southern  District  of  New  York  and  then  with 
the  independent  counsel  responsible  for  investigating  Iran-Contra. 
During  those  7  years,  I  gathered  substantial  experience  in  running, 
managing,  supervising  complex  investigations,  and  in  my  capacity 
as  deputy  chief  and  then  briefly  as  chief  of  the  narcotics  unit,  I  had 
responsibility  for  supervising  from  20  to  22  attorneys  who  were 
working  on  a  large  number  of  quite  important  narcotics  investiga- 
tions. 

I  had  similar  supervisory  duties  when  I  worked  for  Judge  Walsh 
on  the  Iran-Contra  investigation.  I,  for  a  substantial  period  of  time, 
supervised  a  group  of  from  7  to  9  lawyers  and  7  to  10  FBI  and  IRS 
agents  in  doing  a  fairly  substantial  piece  of  that  investigation  that 
included  looking  at  whether  employees  of  the  Central  Intelligence 
Agency  and  Department  of  State  committed  any  crimes.  • 

So,  I  believe  that  my  experience  in  Federal  law  enforcement  and 
my  experience  in  managing  people,  both  lawyers  and  investigative 
agents,  qualifies  me  for  the  position  of  inspector  general. 

Senator  FEINSTEIN.  Thank  you  very  much.  As  you,  I  am  sure,  are 
aware,  at  one  time  Attorney  General  Reno  was  considering  merging 
the  Office  of  IG  and  the  Office  of  Professional  Responsibility  into 
an  expanded  Office  of  Inspector  General.  Recently,  she  decided  not 
to  merge  the  two  offices.  That  means,  I  take  it,  that  the  Office  of 
Professional  Responsibility  will  continue  to  investigate  allegations 
of  wrongdoing  against  attorneys  and  law  enforcement  agents,  and 
that  the  Office  of  Inspector  General  will  be  responsible  for  the  in- 
vestigations and  audits  relating  to  the  economy  and  efficiency  of 
the  Justice  Department's  programs  and  operations,  and  for  detect- 
ing and  preventing  fraud  and  abuse,  as  I  have  stated. 

Is  this  your  understanding  of  how  the  functions  will  be  divided? 

Mr.  Bromwich.  Yes,  that  is  generally  correct.  Madam  Chair- 
person. There  will  be  responsibilities  for  the  Office  of  Inspector 
General  in  investigating  certain  sorts  of  employee  misconduct,  but 
you  are  quite  right  that  OPR  will  continue  to  have  principal  re- 
sponsibility for  investigations  of  misconduct  that  relate  to  allega- 
tions lodged  against  attorneys  and  law  enforcement  agents. 

Senator  FEINSTEIN.  Do  you  believe  there  will  be  overlap,  and  if 
so,  how  would  it  be  handled? 

Mr.  Bromwich.  There  will  undoubtedly  be  overlap.  There  may  be 
cases  in  which  lawyers  and  law  enforcement  agents  are  involved 
that  also  involve  other  employees  of  the  Department  of  Justice,  and 
I  am  quite  hopeful  that  I  will  be  able  to  work  closely  with  the  Of- 


382 

flee  of  Professional  Responsibility  to  work  cooperatively  on  matters 
in  which  we  both  have  an  interest. 

At  my  initiative,  I  met  recently  with  Mr.  Shaheen  and  his  dep- 
uty, Mr.  Rogers,  who  are  the  top  two  officials  in  the  Office  of  Pro- 
fessional Responsibility.  It  is  not  a  secret  that  there  has  been  ten- 
sion in  the  past  between  OPR  £ind  the  IG,  and  I  am  hopeful  that 
we  will  be  able  to  launch  a  new  era  and  we  will  be  able  to  mini- 
mize turf  battles  and  maximize  cooperation. 

Senator  Feinstein.  I  think  that  is  excellent.  One  of  the  things 
that  I  have  been  struck  with  is  what  a  large  department  Justice 
is,  with  over  90,000  employees,  and  so  I  think  your  job  is  really  a 
very  critical  and  important  one  in  the  Department. 

Mr.  Bromwich.  I  agree  with  you,  Madam  Chairperson. 

Senator  Feinstein.  I  understand  that  the  Office  of  Inspector 
General  is  divided  into  four  sections — investigations,  audits,  inspec- 
tions, and  management — each  headed  by  an  assistant  inspector 
general.  What  will  be  your  enforcement  priorities  or  goals  for  each 
of  these  sections? 

Mr.  Bromwich.  Madam  Chairperson,  what  the  inspector  general 
has  done  up  until  now,  and  this  is  what  I  plan  to  continue,  is  to 
try  to  take  a  look  at  what  are  the  most  significant  high-impact, 
high-risk  areas  of  the  Department's  operations,  and  that  is  not  just 
restricted,  as  you  well  know,  to  the  Department  of  Justice.  It  also 
includes  the  U.S.  attorneys  offices.  It  includes  INS,  it  includes  the 
Marshals  Service,  it  includes  DEA,  it  includes  the  FBI,  and  so 
forth. 

We  are  the  principal  sentinel  to  make  sure  that  the  Department 
is  run  as  efficiently  and  effectively  as  possible,  and  we  will  con- 
tinue to  target  those  areas  that  are  high-risk  areas  where  there  are 
substantial  public  funds  expended  and  where  there  is  a  risk  that 
public  moneys  are  wasted.  That  is  my  principal  job. 

Senator  Feinstein.  What  would  you  say  would  be  your  number 
one  priority  when  you  go  into  that  office? 

Mr.  Bromwich.  My  number  one  priority  is,  in  every  way  that  I 
possibly  can,  both  through  the  investigations,  audits,  and  inspec- 
tions functions,  to  promote  the  integrity  of  departmental  personnel 
and  departmental  programs. 

Senator  Feinstein.  Now,  it  is  fair  to  say  that  the  Department 
that  you  are  going  to  head  is  really  the  watch  dog  for  Justice.  I 
know  that  you  are  an  employee  at  Justice,  an  assistant  to  the  At- 
torney General.  Do  you  feel  you  can  go  in  and  give  her  bad  news, 
if  necessary? 

Mr.  Bromwich.  Senator,  it  is  my  job  to  give  her  bad  news,  if  it 
is  necessary,  and  I  have  had  a  number  of  conversations,  including 
recent  conversations,  with  both  the  Attorney  Greneral  and  the  Dep- 
uty Attorney  Generzd,  and  they  have  expressed  their  intention  to 
give  me  whatever  access  that  I  need  to  them  and  to  the  Depart- 
ment as  a  whole  in  order  to  carry  out  the  functions  that  I  have. 

They  do  recognize  that  I  have  responsibilities  that  require  me  to 
be  independent,  and  I  have  no  indication  that  they  expect  me  to 
bow  in  that  independence  and  to  do  things  that  will  attempt  to 
curry  favor  with  them.  They  understand  what  the  function  and  the 
role  of  the  inspector  general  must  be. 


383 

Senator  Feinstein.  If  you  could  have  your  druthers  in  terms  of 
Justice  within  the  area  of  this  responsibility,  5  years  down  the  line 
how  would  you  like  to  be  looked  at  as  an  inspector  general? 

Mr.  Bromwich.  I  would  like  in  the  future  to  be  looked  at  as 
somebody  who  was  a  leader  in  the  inspector  general  community 
throughout  the  executive  branch  of  the  Government,  and  someone 
who  has  left  a  record  of  doing  ever5rthing  within  one  person's  and 
one  organization's  power  to  make  the  Department  of  Justice  the 
most  efficient,  the  most  effective  department  in  the  Federal  Gov- 
ernment, and  to  have  increased  integrity  in  the  Department  in  a 
way  that  everyone  will  acknowledge. 

Senator  FEINSTEIN.  I  will  just  once  again  put  a  priority  of  mine 
out  on  the  table  for  you.  I  have  told  virtually  everybody  as  a  mem- 
ber of  this  committee  when  I  have  been  present  at  one  of  these 
hearings  that,  as  a  Californian,  a  real  department  within  Justice 
that  I  would  like  to  see  elevated  in  priority  is  INS,  and  have  sub- 
mitted some  legislation  that  could  be  helpful  in  doing  that  by  pro- 
viding the  funding. 

I  would  hope  that  as  you  look  at  waste,  fraud,  abuse  and  other 
things  that  you  would  recognize  that  this  today  is  a  very  important 
department  which  has  functioned  as  more  or  less  a  stepchild  or  an 
orphan  within  the  Department  for  a  long  time,  and  the  time  has 
really  come  to  see  that  it  has  the  wherewithal  to  do  the  job  that 
it  should  be  doing. 

Mr.  Bromwich,  I  completely  agree  with  you.  Senator.  As  you 
probably  know,  a  tremendous  amount  of  the  work  that  is  currently 
done  by  the  inspector  general  focuses  on  INS  in  audits,  in  inspec- 
tions, in  investigations,  and  I  think  that  is  critical  to  continue  that 
effort  and,  if  possible,  to  enhance  it  because  there  is  no  doubt  that 
INS  is  an  absolutely  critical  part  of  the  Department  of  Justice.  I 
recognize  that. 

Senator  Feinstein.  Since  no  other  Senators  have  come — I  mean, 
this  is  just  a  wonderful  way  to  have  one  of  these  hearings,  I  must 
say. 

Mr.  Bromwich.  It  is  fme  for  me  so  far.  Senator. 

Senator  Feinstein.  Do  you  have  any  closing  comments? 

Mr.  Bromwich.  I  really  don't,  Senator.  It  has  been  a  longer  road 
than  I  expected  from  the  time  I  was  offered  the  job  until  the  time 
I  appeared  before  this  committee,  and  I  am  just  very  much  looking 
forward  to  moving  on,  if  and  when  I  am  confirmed,  and  assuming 
the  responsibilities  of  the  Inspector  General  of  the  Department  of 
Justice. 

Senator  Feinstein.  Well,  thank  you  very  much.  I  look  forward  to 
supporting  your  nomination  and  being  able  to  work  with  you  as  a 
Senator.  I  thank  you  very  much. 

Mr.  Bromwich.  Thank  you  very  much.  Senator  Feinstein. 

Senator  Feinstein.  This  hearing  is  adjourned. 

[Whereupon,  at  11:23  a.m.,  the  committee  was  adjourned.] 

[Submissions  for  the  record  follow:] 


384 


SUBMISSIONS  FOR  THE  RECORD 


X.  BIOGRAPHICAL  INFORMATION  (PUBLIC) 

1.  Full  name  (including  any  former  names  used) 

Michael  Ray  Bromwich 

2.  Address:   List  current  place  of  residence  and  office 

addresses) 

Residence: 

3806  Military  Road,  N.W.,  Washington  D.C.  20015 

Office  Address: 

United  States  Department  of  Justice 
10th  and  Constitution  Avenue,  N.W. 
Rood  4121 
Washington  D.C.   20530 

3.  Date  and  place  of  birth. 

December  19,  1953;  Los  Angeles,  California. 


Marital  Status  (include  maiden  name  of  wife  or  husband's 
name).   List  spouse's  occupation,  employer's  name,  and 
business  address (es) . 

Felice  B.  Friedman 

Lawyer 

Securities  and  Exchange  Commission 

Office  of  International  Affairs 

450  Fifth  Street,  N.W. 

Washington  D.C.   20549 


5.   Education:   List  each  college  and  law  school  you  have 
attended,  including  dates  of  attendance,  degrees 
received,  and  dates  degrees  were  granted. 

Harvard  College,  1971-76,  A.B.,  June  1976. 


John  F.  Kennedy  School  of  Government,  1977-1980, 
M.P.P.,  1980. 


385 


Harvard  Law  School,  1976-80,  J.D.,  1980. 


List  (by  year)  all  business  or  professional 
corporations,  companies,  firms,  or  other 
enterprises,  partnerships,  institutions  and 
organizations,  non-profit  or  otherwise,  including  firms, 
with  which  you  were  connected  as  an  officer,  director, 
partner,  proprietor,  or  employee  since  graduation  from 
college. 


A.   Summer  1976: 

Sherman  Oaks  Swim  School 
Sherman  Oaks,  California 
Swim  Instructor 


B.   Svimmer  1977: 

Xrell  i   Manella 

Los  Angeles,  California 

Summer  Law  Associate 


Summer  1978: 


U.S.  Department  of  Justice 
Washington  D.C.   20530 
Special  Assistant 
Summer  Law  Clerk  (6  weeks) 


2.   Irell  t   Manella 

Los  Angeles,  California 
Svimmer  Law  Associate  (6  weeks) 


D.   School  Year  1978-79: 

John  F.  Kennedy  School  of  Government 
Harvard  University 
Cambridge,  Massachusetts 
Teaching  Assistant 


3  - 


386 


E.   Spring  1979: 


Consultant  (with  Professors  James  Q.  Wilson 
and  Mark  H.  Moore) 
Federal  Bureau  of  Investigation 
Washington  D.C. 


Summer  1979: 

Fried,  Frank,  Harris,  Shriver  i   Kampelman 
Washington  D.C. 
Summer  Lav  Associate 


School  Year  1979-80: 

John  F.  Kennedy  School  of  Government 
Harvard  University 
Cambridge,  Massachusetts 
Teaching  Assistant 


H.   June  1980  -  May  1983: 

Foley  t  Lardner 
Washington  D.C. 
Associate 


May  1983  -  January  1987: 

United  states  Attorney's  Office  for  the 

Southern  District  of  New  York 
Mew  York,  New  York 
Assistant  United  States  Attorney 


January  1987  -  October  1989: 

November  1989  -  January  1990  (part-time) 

May  1991  -  September  1991  (part-time) : 


Office  of  the  Independent  Counsel: 

Iran-contra 
Washington  D.C. 
Associate  Counsel  (*87-'89) 
Special  Counsel  (part-time  assignments) 


-  4  - 


387 


October  1989  -  November  30,  1993; 

Mayer,  Brown  t  Piatt 
Washington  D.C. 
Partner 


December  1,  1993-present: 

Assistant  to  the  Attorney  General 
United  states  Department  of  Justice 
Washington  D.C. 


Military  Service:   Have  you  had  any  military  service? 
If  so,  give  particulars,  including  the  dates,  branch  of 
service,  rank  or  rate,  serial  number  and  type  of 
discharge  received. 

No. 


Honors  and  Awards:  List  any  scholarships,  fellowships, 
honorary  degrees,  and  honorary  society  memberships  that 
you  believe  would  be  of  interest  to  the  Committee. 


Summa  Cum  Laude  from  Harvard  College;  Phi  Beta 
Kappa . 


9.   Bar  Associations:   List  all  bar  associations,  legal  or 
judicial-related  committees  or  conferences  of  which  you 
are  or  have  been  a  member  and  give  the  titles  and  dates 
of  any  offices  which  you  have  held  in  such  groups. 


Member  of  D.C.  Bar. 


B.   Member  of  American  Bar  Association  and 
following  sections  and  subcommittees: 

1.   Litigation  Section 

(Complex  Crimes  Committee) 


2.   Criminal  Justice  Section 

(White  Collar  Crime  Committee) 


-  5  - 


388 


C.  New  York  Council  of  Defense  Lawyers. 

D.  Criminal  Justice  Act  Panels: 

X.      U.S.  District  Court,  District  of  Columbia 
2.   0.8.  District  Court,  District  of  Karyland 

10.   Other  Memberships:   List  all  organizations  to  which  you 
belong  that  are  active  in  lobbying  before  public 
bodies.   Please  list  all  other  organizations  to  which 
you  belong. 

Lobbying  Organizations; 
World  Wildlife  Fund 
American  Automobile  Association 
Friends  of  WETA  (Public  Television) 

Other  Organizations; 

Council  for  Excellence  in  Government 

United  states  Holocaust  Memorial  Museum 

Friends  of  the  National  Zoo 

Temple  Sinai 

Murcta  Home  &  School  Association  (DC  Public 
Schools  PTA) 

Harvard  Law  School  Association 

Northwest  Branch  Swim  Club 

11.   Court  Admission:   List  all  courts  in  which  you  have 

been  admitted  to  practice,  with  dates  of  admission  and 
lapses  if  any  such  memberships  lapsed.   Please  explain 
the  reason  for  any  lapse  of  membership.   Give  the  same 
information  for  administrative  bodies  which  require 
special  permission  to  practice. 

United  states  Supreme  Court  (1989) 
-  6  - 


389 


United  states  Court  of  Appeals  for  the  2nd  Circuit 
(1984) 


United  States  Court  of  Appeals  for  the  O.C. 
Circuit  (1989) 


United  States  District  Court  for  the  District  of 
Columbia  (1989) 


United  States  District  Court  for  the  District  of 
Maryland  (1991) 


District  of  Columbia  Court  of  Appeals  (1980) 
Superior  Court  of  the  District  of  Columbia  (1980) 


12.   Published  Writings:   List  the  titles,  publishers,  and 
dates  of  booJcs,  articles,  reports,  or  other  published 
material  you  have  written  or  edited.   Please  supply  one 
copy  of  all  published  material  not  readily  available  to 
the  Committee.   Also,  please  supply  a  copy  of  all 
speeches  by  you  on  issues  involving  constitutional  law 
or  legal  policy.   If  there  were  press  reports  about  the 
speech,  and  they  are  readily  available  to  you,  please 
supply  them. 


A.  Boo)t  Review,  Law  t  Policy  in  International 
Business.  Vol.  14:1227  (1983) 

B.  Participant  in  panel  discussion,  subsequently 
published  as,  "Symposium  Issue  on  the  Selection 
and  Function  of  the  Modern  Jury,"  The  American 
University  Law  Review.  Vol.  40,  No.  2,  Winter 
1991. 


C.   "Sentencing  of  Organizations,"  in  Phylis 
Skloot  Bamberger,  ed..  Practice  Under  the  New 
Federal  Sentencing  Guidelines.  Prentice-Hall  Law  t 
Business  (1992  &  1993  Supp.) 
(co-author) . 


-  7  - 


390 


D.   Participant  in  symposiiun,  subsequently 
published  as,  "Iraqgate:  The  Making  of  an 
Investigation,"  Harper's.  January  1993. 


E.   "Today  is  the  Day  to  Implement  Compliance 
Programs,"  New  York  Law  Journal.  July  26,  1993. 


13.   What  is  the  present  state  of  your  health?   List  the 
date  of  your  last  physical  examination. 

Excellent.   February  1991. 


14.   Public  Offices:   State  (chronologically)  any  public 
offices  you  have  held,  other  than  judicial  offices, 
including  the  terms  of  service  and  whether  such 
positions  were  elected  or  appointed.   State 
(chronologically)  any  unsuccessful  candidacies  for 
public  office. 


A.   Assistant  United  States  Attorney,  Southern 
District  of  New  York  (1983-87) 

1.   Deputy  Chief  Narcotics  Onit  (September 
1985-December  1986) 


2.   Chief,  Narcotics  Unit  (December  1986- 
January  1987) 


B.   Associate  Counsel,  Office  of  Independent 
Counsel:  Iran-Contra  (1987-89) 


C.   Special  Counsel,  Office  of  Independent 
Counsel:  Iran-Contra  (December  1989-January  1990; 
May-September  1991) . 


-  8  - 


1 


391 


15.   Legal  Career; 

a.   Describe  chronologically  your  law  practice  and 
experience  after  graduation  from  law  school 
including: 

1.  whether  you  served  as  a  clerk  to  a  judge,  and 
if  so,  the  name  of  the  judge,  the  court,  and 
the  dates  of  the  period  you  were  a  clerk; 

2.  whether  you  practiced  alone,  and  if  so,  the 
addresses  and  dates; 

3.  the  dates,  names  and  addresses  of  law  firms  or 
offices,  companies  or  governmental  with  which 
you  have  been  connected,  and  the  nature  of 
your  connection  with  each; 

b.  1.   What  has  been  the  general  character  of  your 

law  practice  dividing  it  into  periods 
with  dates  if  its  character  has  changed 
over  the  years? 

2.   Describe  your  typical  former  clients,  and 

mention  the  areas,  if  any,  in  which  you  have 
specialized. 

c.  1.   Did  you  appear  in  court  frequently, 

occasionally,  or  not  at  all?   If  the  frequency 
of  your  appearances  in  court  varied,  describe 
each  such  variance,  giving  dates. 

2.  What  percentage  of  these  appearances  was  in: 

(a)  federal  courts; 

(b)  state  courts  of  record; 

(c)  other  courts. 

3.  What  percentage  of  your  litigation  was: 

(a)  civil; 

(b)  criminal. 

4 .  State  the  number  of  cases  in  courts  of 
record  you  tried  to  verdict  or  judgment 
(rather  than  settled) ,  indicating  whether  you 
were  sole  counsel,  chief  counsel,  or  associate 
counsel . 


392 


5.   What  percentage  of  these  trials  was: 

(a)  jury; 

(b)  non-jury. 


I  did  not  clerk  for  a  judge  after  I  graduated  from 
Harvard  Law  School  in  1980,  nor  have  I  ever  never 
practiced  lav  by  myself.   The  chronology  of  my  legal 
career  is  as  follows: 

From  June  1980  to  1983,  I  was  an  associate  in  the 
D.C.  office  of  Foley  (  Lardner,  a  lav  firm  based  in 
Milwaukee,  Wisconsin.   While  I  worked  at  the  firm,  the 
address  of  the  D.C.  office  was  1775  Pennsylvania 
Avenue,  N.W.,  Washington,  D.C,  20006.1/   During  my 
time  at  the  firm,  I  worked  on  projects  involving 
litigation,  regulatory  enforcement,  and  administrative 
lav,  as  veil  as  in  various  other  areas  of  the  firm's 
practice.   With  the  exception  of  one  pro  bono  criminal 
appeal,  my  practice  consisted  entirely  of  civil 
matters.   I  did  some  legal  work  on  behalf  of  a  trade 
association  in  the  oil  industry  and  for  various 
Milwaukee-based  corporate  clients  of  the  firm.   With 
the  exception  of  the  criminal  pro  bono  matter  referred 
to  above,  which  I  argued  in  the  D.C.  Court  of  Appeals, 
I  made  no  court  appearances  in  either  state  or  federal 
court. 

In  May  1983,  I  was  appointed  an  Assistant  United 
States  Attorney  for  the  Southern  District  of  New  York. 
The  address  of  that  office  is  One  Saint  Andrews  Plaza, 
New  York,  New  York,  10007.   I  was  hired  by  John  S. 
Martin,  Jr.,  now  a  federal  judge  in  the  Southern 
District  of  New  York,  but  served  most  of  my  tenure 
under  Rudolph  W.  Giuliani,  now  the  Mayor  of  New  York 
City.   My  entire  tenure  was  served  in  the  Criminal 
Division  and  more  than  95%  of  the  matters  that  I 
handled  while  in  the  Office  was  criminal.   While  an 
Assistant  United  States  Attorney,  I  tried  approximately 
a  dozen  cases,  ranging  in  length  from  three  days  to  two 
months.   With  one  exception,  these  trials  were  all 
before  a  jury.   In  all  of  these  cases,  I  was  lead 


1/    The  firm's  D.C.  Office  has  moved  to  3000  K  Street,  suite 
500,  Washington  D.C. 

-  10  - 


393 


counsel  for  the  government. 2/   In  approximately  half 
of  these  cases,  I  was  sole  counsel  for  the  government. 

In  January  1984,  after  10  months  in  the  General 
Crimes  Unit,  I  was  transferred  to  the  Narcotics  Unit. 
In  September  1985,  Mr  Giuliani  appointed  me  Deputy 
Chief  of  the  Narcotics  Unit.   In  December  1986,  shortly 
before  I  left  the  O.S.  Attorney's  Office,  Mr.  Giuliani 
appointed  me  Chief  of  the  Narcotics  Unit,  with 
responsibility  to  direct  and  supervise  the  work  of  more 
than  2  0  lawyers.   During  the  period  I  held  these 
supervisory  positions,  I  continued  to  handle  my  o%m 
investigations  and  cases.   As  a  result,  I  was  in  court 
very  frequently  during  my  entire  stay  in  the  0.8. 
Attorney's  Office.   In  addition  to  the  trials  that  I 
tried  to  verdict,  I  argued  approximately  a  dozen  cases 
in  the  U.S.  Court  of  Appeals  for  the  2nd  Circuit. 

In  January  1987,  I  was  appointed  Associate  Counsel 
by  Lawrence  E.  Walsh,  who  in  December  1986  was 
appointed  Independent  Counsel  by  a  special  division  of 
the  D.C.  Circuit  to  investigate  the  Iran-Contra  affair. 
I  remained  an  Associate  Counsel  until  October  1989. 
The  address  of  the  Independent  Counsel  was  555  13th 
Street,  M.W.,  Suite  701W,  Washington,  D.C,  20004.   I 
was  designated  by  Judge  Walsh  as  one  of  three  members 
of  the  trial  team  in  D.S.  v.  Oliver  North,  which  was 
tried  from  January  to  May  1989.   Shortly  after  the 
North  case  ended,  I  left  the  Office  to  return  to 
private  practice.   On  two  occasions  after  my  departure, 
I  was  appointed  Special  Counsel  by  Judge  Walsh  to 
handle  matters  relating  to  work  that  had  taken  place 
while  I  was  still  with  the  Office.   Because  of  the 
nature  of  the  Office,  all  of  my  work  was  in  federal 
court  and  all  related  to  criminal  matters.   I  had  no 
involvement  in  any  aspect  of  the  Independent  Counsel's 
investigation  that  took  place  from  1988  through  1992. 
Nor  did  I  have  any  role  in  drafting,  reviewing  or 
editing  any  aspect  of  the  Independent  Counsel's  final 
report. 

From  October  1989  through  November  30,  1993,  I  was 
a  partner  in  the  D.C.  office  of  Mayer,  Brown  &  Piatt. 


II        With  one  exception,  I  tried  these  cases  from  beginning  to 
snd.   The  exception  involved  my  completion  of  a  trial  begun  by  an 
Assistant  D.S.  Attorney  who  was  arrested  in  mid-trial.   In  that 
:ase,  I  completed  presenting  the  government's  case,  cross- 
ixamined  the  witnesses  called  during  the  defense  case,  and 
lelivered  the  summation.   This  case  is  further  described  in  my 
inswer  to  question  #  16,  item  #  5. 

-  11  - 


394 


The  address  of  the  firm's  D.C.  Office  is  2000 
Pennsylvania  Avenue,  N.W.,  Suite  6500,  Washington, 
D.C,  20006.   I  specialized  in  white-collar  criminal 
defense  and  handled  a  wide  variety  of  criminal  matters 
and  quasi-criminal  matters  (administrative 
investigations  that  are  subject  to  referral  to  the 
Justice  Department  for  criminal  prosecution) ,  as  well 
as  a  small  number  of  civil  litigation  matters.   For  the 
most  part,  I  represented  individuals  in  grand  jury 
investigations  and  in  connection  with  administrative 
investigations  and  proceedings.   In  addition,  I 
developed  an  expertise  in  counseling  companies  on 
formulating  and  implementing  internal  compliance 
programs  that  satisfy  the  requirements  established  by 
the  United  States  Sentencing  Commission  in  the 
organizational  sentencing  guidelines,  which  became 
effective  in  November  1991.   I  supervised  internal  and 
private  investigations  on  behalf  of  various  individual 
and  corporate  clients.   I  would  estimate  that  my 
practice  was  approximately  80%  criminal  or  quasi- 
criminal  and  2  0%  civil. 

During  my  four  years  with  the  firm,  I  tried  one 
local  and  one  federal  criminal  case  to  a  jury.   I  also 
tried  one  non-jury  case.   I  have  served  on  the  Criminal 
Justice  Act  panels  of  the  U.S.  District  Courts  for  the 
District  of  Columbia  and  Maryland.   I  handled  numerous 
criminal  matters  —  plus  one  administrative  and  one 
civil  matter  —  on  a  pro  bono  basis  and  have 
established  and  headed  a  criminal  pro  bono  progrzun  at 
my  firm  in  which  law  firm  attorneys  represent  indigent 
defendants  in  D.C.  Superior  Court.   More  than  75%  of  my 
practice  was  in  federal  court,  with  the  remainder  in 
various  state  and  local  courts.   Although  the  frequency 
of  my  court  appearances  while  a  partner  at  Mayer,  Brown 
was  far  less  than  when  I  was  a  prosecutor,  I 
nevertheless  had  a  substantial  number  of  court 
appearances.   In  addition  to  the  three  cases  I  have 
tried,  I  have  also  conducted  evidentiary  hearings  and 
argued  various  motions. 


16.   Litigation;   Describe  the  ten  most  significant 

litigated  matters  which  you  personally  handled.   Give 
the  citations,  if  the  cases  were  reported,  and  the 
docket  number  and  date  if  unreported.   Give  a  capsule 
summary  of  the  substance  of  each  case.   Identify  the 
party  or  parties  whom  you  represented;  describe  in 
detail  the  nature  of  your  participation  in  the 
litigation  and  the  final  disposition  of  the  case.   Also 
state  as  to  each  case: 

-  12  - 


395 


(a)  the  date  of  representation; 

(b)  the  name  of  the  court  and  the  name  of  the  judge  or 
judges  before  whom  the  case  was  litigated;  and 

(c)  the  individual  name,  addresses,  and  telephone 
numbers  of  co-counsel  and  of  principal  counsel  for  each 
of  the  other  parties. 


1.   Dnited  States  v.  Anthony  Bari.  et  al.,  June- 
December  1983,  Case  No.,  83  Cr.  462  (DNE) ,  in  the 
Dnited  States  District  Court  for  the  Southern  District 
of  Hew  York,  before  the  Honorable  David  N.  Edelstein, 
United  States  District  Judge. 

The  decision  of  the  Second  Circuit  affirming  the 
convictions  of  the  defendants  is  reported  at  750  F.  2d 
1169  (2d  Cir.  1984) . 

I  directed  an  investigation  conducted  by  the 
U.S.  Marshals  Service  in  conjunction  with  the 
Bureau  of  Prisons  into  an  attempted  escape  from 
the  Metropolitan  Correctional  Center  in  Manhattan. 
The  attempt  was  launched  from  a  9th  floor 
dormitory  that  housed  approximately  fifteen 
inmates.   Because  no  inmate  succeeded  in  getting 
out  of  the  dormitory  and  no  prison  official  saw 
the  activities  of  the  inmates  who  were  trying  to 
escape,  we  had  to  base  our  case  largely  on  the 
testimony  of  three  inmate-witnesses  who  resided  in 
the  dormitory  at  the  time  of  the  attempted  escape. 
Eventually,  six  inmates  were  indicted. 

After  a  three-week  trial,  in  which  I  served 
as  lead  trial  counsel,  the  jury  convicted  five  of 
the  six  inmates.   The  convicted  inmates  were 
sentenced  to  substantial  terms  of  imprisonment 
that  were  set  to  run  consecutively  to  the 
substantial  sentences  they  were  serving  when  they 
attempted  to  escape. 

Opposing  Counsel:  Richard  F.  Ziegler,  Esq.  (Anthony 
Bari),  Cleary,  Gottlieb,  Steen  t   Hamilton,  One  Liberty 
Plaza,  New  York,  New  York,  10006,  (212)  225-2000;  Frank 
Wohl,  Esq.  (Tyrone  Faines) ,  Lankier,  Siffert  i   Wohl, 
500  Fifth  Avenue,  33rd  Floor,  New  York,  New  York, 
10110,  (212)  921-8399;  and  Anthony  J.  Ferrara,  Esq. 
(Marc  Manns),  Polstein  &  Ferrara,  Two  Park  Avenue,  New 
York,  New  York,  10016,  (212)  725-1166. 


-  13  - 


396 


2.   Dnited  States  v.  Richard  Calvin  Brovn.  Rudolph 
Cook,  et  al. .  Case  No.  88  84  Cr.  767 (RLC) ,  November 
1983-April  1984,  D.S.  District  Court  for  the  Southern 
District  of  New  York,  before  the  Honorable  Robert  L. 
Carter,  0.8.  District  Judge. 

I  investigated  and  prosecuted  a  case 
involving  a  series  of  armed  bank  robberies  in 
Manhattan  and  the  Bronx,  one  of  which  included  the 
perpetrators  taking  a  bank  customer  hostage  during 
the  robbery.   Working  with  the  New  York  Joint  Bank 
Robbery  Task  Force  —  an  entity  made  up  of  FBI 
agents  and  New  York  City  police  detectives  —  we 
determined  that  the  robberies  had  been  committed 
by  the  members  of  loosely-knit  organization  based 
in  the  Bronx,  many  of  whose  members  had  recently 
been  released  from  prison  after  serving  federal 
prison  sentences  for  prior  bank  robberies. 

Members  of  the  Task  Force  were  able  to  obtain 
confessions  from  several  of  the  persons  involved 
in  the  robberies.   We  obtained  guilty  pleas  from 
four  of  the  defendants,  negotiated  cooperation 
agreements  with  their  lawyers,  and  relied  on  their 
testimony  as  well  as  other  proof  to  prosecute  the 
two  remaining  defendants.   After  a  week-long 
trial,  the  jury  convicted  both  defendants  on  all 
of  the  counts  in  which  they  were  charged.   The 
defendants  both  received  lengthy  prison  sentences. 


Opposing  Counsel:   Thomas  Liotti,  Esq. (Richard  Calvin 
Brown) ,  Liotti  and  Skelos,  1001  Franklin  Avenue,  Suite 
300,  Garden  City,  New  York,  (516)  739-3700;  Susan 
Kellman,  Esq.  (Rudolph  Cook) ,  20  Vesey  Street,  New 
York,  New  York,  (212)  732-7200. 


3.   Dnited  States  v.  Alberto  Pacheco-Garcia.  October 
1983-May  1984,  Case  No.  SS  84  Cr.  64  (LPG),  in  the 
Dnited  States  District  Court  for  the  Southern  District 
of  New  York,  before  the  Honorable  Lee  P,  Gagliardi, 
Dnited  States  District  Judge. 

I  supervised  the  investigation  and 
prosecution  in  a  case  involving  a  ring  of 
defendants  in  the  Bronx  and  Manhattan  who 
defrauded  individuals  and  banks  out  of  substantial 
sums  of  money.   The  defendants'  fradulent  scheme 
involved  stealing  large  numbers  of  federal 
government  checks  from  the  mails,  forging  the 

-  14  - 


397 


signatures  of  the  rightful  recipients,  opening 
bank  accounts  under  assumed  names,  depositing  the 
stolen  checks  in  the  bank  accounts,  and  writing 
checks  on  those  bank  accounts  before  the  federal 
government  could  determine  that  the  checks  were 
stolen. 

I  coordinated  the  investigation  conducted 
jointly  by  the  Secret  Service  and  the  U.S.  Postal 
Inspectors.   By  the  conclusion  of  the 
investigation,  approximately  a  dozen  defendants 
pled  guilty.   The  only  defendant  who  went  to  trial 
was  Alberto  Pacheco-Garcia,  who  was  convicted  of 
conspiracy  to  defraud  the  United  States  and  theft 
of  government  property.   I  was  sole  government 
counsel  at  trial. 

Opposing  Counsel:   Harry  C.  Batchelder,  Esq.  (Pacheco- 
Garcia),  123  William  Street,  New  York,  New  York,  10038, 
(212)  233-1884;  Roland  Thau,  Esq.  (E.  Dulac) ,  Federal 
Defender  Services  Unit  of  the  Legal  Aid  Society,  52 
Duane  Street,  New  York,  New  York,  10007,  (212)  285- 
2830. 


4.   United  States  v.  Harold  Barr.  et  al..  January  1984- 
June  1985,  Case  No.  84  Cr.  82  (MEL),  in  the  United 
States  District  Court  for  the  Southern  District  of  New 
York,  before  the  Honorable  Morris  E.  Lasker,  United 
States  District  Judge. 

The  Second  Circuit's  decision  affirming  the 
convictions  of  the  defendants  convicted  at  trial,  while 
remanding  Barr's  case  for  further  proceedings  before 
the  District  Court,  is  reported  as  United  States  v. 
Cohen,  at  796  F.  2d  20  (1986).   The  District  Court's 
opinion  on  certain  pre-trial  motions  is  reported  at  605 
F.  Supp.  114  (6.D.N.Y.  1985).   The  District  Court's 
opinion,  following  evidentiary  hearings  held  pursuant 
to  the  Second  Circuit's  remand,  is  reported  at  1989 
U.S.  District  LEXIS  4294  (1989). 

From  January  1984,  when  agents  of  the  New 
York  Drug  Enforcement  Task  Force  arrested  three 
defendants  following  a  large-scale  cocaine 
transaction,  until  March  1985,  when  a  two-month 
long  trial  ended  with  the  conviction  of  the 
principal  defendants,  I  directed  and  supervised  an 
investigation  of  large-scale  narcotics  trafficking 
involving  cocaine,  massive  amounts  of  marihuana, 
and  various  psychedelic  drugs.   We  enlisted  the 

-  15  - 


398 


cooperation  and  assistance  of  federal,  state,  and 
local  police  officials  throughout  the  country  and 
from  the  Royal  Canadian  Mounted  Police. 

The  lead  defendant,  Harold  Barr,  purchased 
multi-kilogram  quantities  of  cocaine  from 
Colombian  nationals  based  in  Florida  and 
distributed  the  cocaine  and  the  other  drugs  to  a 
network  of  drug  distributors  in  New  York  City. 
The  members  of  Barr's  distribution  network  in  turn 
sold  the  drugs  to  customers  from  around  the 
country  —  including  Massachusetts,  North 
Carolina,  Michigan,  and  California  —  and  from 
Canada. 

During  the  course  of  the  investigation,  we 
secured  the  cooperation  of  numerous  co- 
conspirators, including  two  of  Barr's  top 
lieutenants,  one  of  whom  was  his  first  cousin.   In 
all,  approximately  twenty  defendants  either  pled 
guilty  or  were  convicted  at  trial.   The  lead 
defendant,  Harold  Barr,  was  convicted  of 
conducting  a  continuing  criminal  enterprise  and 
sentenced  to  a  2  0-year  term  of  imprisonment. 3/ 

Opposing  Counsel:  Michael  Kennedy,  Esq.  (Harold 
Barr),  425  Park  Avenue,  New  York,  New  York,  (212)  935- 
4500;  Michael  Washor,  Esq.  (Eliot  Cohen),  275  Madison 
Ave.,  New  York,  New  York,  (212)  980-6110;  Robert 
Katzberg,  Esq.  (Jason  Steinberg),  Kaplan  &  Katzberg, 
767  Third  Avenue,  26th  Floor,  New  York,  New  York,  (212) 
750-3100;  Barry  Fallick,  Esq.  (Gary  Nudelman) ,  Rochman, 
Platzer,  Fallick,  Rosmarin  &  sternheim,  666  Third 
Avenue,  New  York,  New  York,  10017,  (212)  697-4090;  and 
Myron  Beldock,  Esq.  (Oona  Lind) ,  Beldock,  Levine  t 
Hoffman,  99  Park  Avenue,  New  York,  New  York,  10016, 
(212)  490-0400. 


5.   Dnited  States  v.  Gordon  Lawson  and  Milan  Lama.  May- 
June  1985,  Case  No.  85  Cr.  403  (EW) ,  in  the  Onited 
States  District  Court  for  the  Southern  District  of  New 
York,  before  the  late  Honorable  Edward  Weinfeld,  Dnited 
States  District  Judge;  and  Dnited  states  v.  Louis.  July 
1985-March  1986,  Crim.  No.  85  Cr.  708  (KTD) ,  in  the 
Dnited  States  District  Court  for  the  Southern  District 
of  New  York,  before  the  Honorable  Kevin  Thomas  Duffy. 


3/        Following  my  departure  from  the  D.6.  Attorney's  office, 
Barr's  sentence  was  reduced  by  the  District  Court. 

-  16  - 


399 


The  Second  Circuit  summarily  affirmed  the 
convictions  of  the  two  defendants  in  Lawson  in  an 
unpublished  order.   The  Second  Circuit's  affirmance  of 
the  Louis  conviction  is  reported  at  814  F.2d  852 
(1986)  . 

These  two  trials  involved  the  shipment  of 
heroin  from  Hong  Kong  to  New  York  City  through 
Seattle,  Washington,  in  March  1985.   The  Lawson 
case  was  originally  handled  by  another  Assistant 
United  States  Attorney,  who  was  arrested  in  mid- 
trial  for  having  stolen  money  and  drugs  — 
including  the  heroin  exhibit  relating  to  this  case 
—  from  a  safe  in  the  O.S.  Attorney's  Office.   The 
United  States  Attorney,  Rudolph  w.  Giuliani,  asked 
me  to  complete  the  trial  on  behalf  of  the 
government  and  Judge  Weinfeld  granted  me  a 
postponement  of  the  trial  over  a  long  weekend  to 
become  familiar  with  the  case  and  review  the 
transcript  of  proceedings  that  had  already  taken 
place.   After  the  weekend  adjournment,  I  presented 
the  balance  of  the  government's  case  and  cross- 
examined  one  of  the  defendants.   Both  defendants 
were  convicted  and  sentenced  to  terms  of 
imprisonment.   The  Second  Circuit  summarily 
affirmed  their  convictions. 

Following  the  completion  of  the  Lawson  trial, 
the  investigation  focused  on  the  source  of  the 
heroin  in  Hong  Kong.   DEA  agents  based  in  Hong 
Kong,  working  together  with  Hong  Kong  customs  and 
police  officials,  located  and  arrested  George 
Kathovalappil  Louis.   Louis  waived  extradition  and 
was  transported  to  the  O.S.  in  September  1985.   I 
was  sole  trial  counsel  in  Louis's  trial.   Louis 
was  convicted  by  a  jury  and  sentenced  to  a 
siibstantial  prison  term.   The  Second  Circuit 
affirmed  his  conviction  but  remanded  to  the 
District  Court  for  resentencing  by  another  judge 
based  on  its  determination  that  the  District  Court 
had  sua  sponte  based  its  sentence  on  improper 
considerations . 

Opposing  Counsel:   John  P.  Curley,  Esq.  (Gordon 
Lawson) ,  Federal  Defender  Services  Onit  of  The  Legal 
Aid  Society,  52  Duane  Street,  New  York,  New  York, 
10007,  (212)  285-2830;  Louis  R.  Aidala,  Esq.  (Milan 
Lzuna),  1133  Avenue  of  the  Americas,  New  York,  New  York, 
(212)  302-4466;  and  David  Eames,  Esq.  (George  Louis), 
450  Park  Avenue,  New  York,  New  York,  (212)  223-3000. 


-  17  - 


400 


6.   Dnited  States  v.  Delvecchio.  September  1985-June 
1986,  Case  Mo.  86  Cr.  305  (ONE),  United  States  District 
Court  for  the  Southern  District  of  New  York,  before  the 
Honorable  David  N.  Edelstein,  United  States  District 
Judge . 

The  decision  of  the  U.S.  Court  of  Appeals  for  the 
Second  Circuit  is  reported  at  816  F.  2d  859  (2d  Cir. 

1986)  . 

I  was  sole  trial  counsel  for  the  government 
in  a  case  involving  a  conspiracy  by  the  two 
defendants  and  others  to  sell  approximately 
twenty-five  kilograms  of  high-grade  heroin  for 
approximately  $  2.5  million  dollars.   Although  two 
other  participants  in  the  operation  had  been 
arrested  in  November  1982,  the  identity  of  one  of 
the  two  defendants  whom  I  prosecuted  was  not  known 
until  the  spring  of  1986  and  the  case  against  the 
other  was  at  the  time  considered  weak.   In 
addition,  one  of  the  key  witnesses  in  the  case  had 
been  murdered  in  a  gangland-style  execution. 

We  gathered  substantial  additional  evidence 
to  strengthen  the  case  against  the  two  defendants. 
Following  their  arrest,  the  two  defendants  were 
convicted  of  conspiracy  to  distribute  heroin  and 
sentenced  to  substantial  terms  of 
imprisonment. 4/ 

Opposing  Counsel:  David  Levitt,  Esq.  (Richard 
Delvecchio)  and  the  late  Jack  Lipson,  Esq.,  Federal 
Defender  Services  Unit  of  the  Legal  Aid  Society,  52 
Duane  Street,  New  York,  New  York,  10007,  (212)  285- 
2830;   Daniel  Felber,  Esq.  (Angelo  Amen),  285  Nest 
Broadway,  New  York,  New  York,  (212)  422-4600. 


7.   United  States  v.  Amen,  et  al..  February-December 
1986,  Case  No.  SSS  86  Cr.  60  (RLC) ,  United  States 
District  Court  for  the  Southern  District  of  New  York, 
before  the  Honorable  Robert  L.  Carter,  United  States 
District  Judge. 


^1        The  two  defendants  were  also  convicted  by  the  jury  of 
attempting  to  distribute  five  kilograms  of  heroin.   Their 
conviction  on  the  attempt  charge  was  reversed  by  the  Second 
Circuit. 

-  18  - 


401 


The  decision  of  the  0.8.  Court  of  Appeals  for  the 
Second  Circuit  is  reported  at  831  F.  2d  373  (2d  Cir. 
1987),  cert,  denied  (as  Abbamonte  v.  U.S.),  485  U.S. 
1021  (1988).   The  opinion  by  the  District  court 
disposing  of  the  defendants'  pre-trial  motions  is 
reported  at  649  F.  Supp.  974  (S.D.N.Y.  1986) .5/ 

I  directed  the  investigation  and  was  lead 
trial  counsel  in  a  case  involving  high-level 
heroin  trafficking  in  New  York  and  Washington, 
D.C.   Relying  on  court-ordered  wiretaps,  telephone 
calls  taped  at  FCI  Lewisburg,  and  multiple 
undercover  purchases  of  high-grade  heroin,  we  were 
able  to  demonstrate  that  two  federal  prison 
inmates  arranged  substantial  heroin  transactions 
through  their  confederates  outside  the  prison  by 
means  of  coded  telephone  calls  and  in-person 
visits  in  the  prison's  visiting  room.   In  the 
final  days  of  the  investigation,  we  executed  a 
search  warrant  at  the  residence  of  one  of  the 
defendants  located  on  Long  Island,  New  Yor)c,  and 
seized  five  )cilograms  of  high-grade  heroin,  eight 
kilogrzuus  of  high-grade  cocaine,  and  $  5.6  million 
in  cash,  which  at  the  time  was  the  largest  cash 
seizure  from  an  individual  in  DEA  history. 

The  principal  defendants,  many  of  whom  had 
substantial  organized  crime  connections,  either 
pled  guilty  prior  to  trial,  or  —  in  the  case  of 
the  three  lead  defendants  —  were  convicted  after 
a  month-long  trial.   The  lead  defendant,  Oreste 
Abb2unonte,  Jr.,  one  of  the  most  notorious  drug 
trafficlcers  in  New  Yor)c  City  history  —  and  whose 
exploits  as  a  teenager  were  chronicled  in  David 
Dur)c's  The  Pleasant  Avenue  Connection  —  was 
convicted  of  conducting  a  continuing  criminal 
narcotics  enterprise  and  was  sentenced  to  life  in 
prison  without  parole  at  FCI  Marion  where  he  has 
limited  access  to  telephones.   Most  of  the 
remaining  convicted  defendants,  including  Michael 
Paradise,  a  close  associate  of  Gambino  family  boss 
John  Gotti,  received  prison  terms  ranging  from  20- 
40  years. 

Opposing  Counsel:   Gerald  L.  Shargel,  Esq.  (Philip 
Vasta),  150  E.  58th  Street,  New  York,  New  York,  (212) 
486-1717;  Howard  L.  Jacobs,  Esq.  (Michael  Paradise), 


/    The  second  Circuit's  decision  on  the  pre-trial  detention  of 
ne  of  the  defendants  who  subsequently  pled  guilty  is  reported  as 
nited  States  v.  Romano.  799  F.  2d  17  (2d  Cir.  1986) . 


19  - 


402 


401  Broadway,  New  York,  New  York,  (212)  431-3710; 
Martin  G.  Weinberg  (Oreste  Abbamonte,  Jr.)>  Oteri, 
Weinberg  t   Lawson,  the  Statler  Building,  2  0  Park  Plaza, 
Suite  905,  Boston,  Massachusetts,  02116  (617)  227-3700. 


8.   Dnited  states  v.  Arnold  Souitieri.  Grim.  No.  SSS  86 
Cr.  60  (RLC) ,  September  1985-December  1986,  U.S. 
District  Court  for  the  Southern  District  of  New  York, 
before  the  Honorable  Robert  L.  Carter,  Dnited  States 
Distz'ict  Judge. 

Squitieri  was  a  defendant  in  the  case 
described  in  #7  above.   Although  he  was  originally 
one  of  the  principal  targets  of  the  investigation, 
and  although  wiretaps  were  placed  on  his  residence 
phones  for  several  months,  he  played  a  limited 
role  in  the  events  that  formed  the  core  of  that 
case.   Squitieri  was  acquitted  by  the  jury. 

Despite  Squitieri *s  substantial  wealth,  he 
claimed  shortly  after  bis  arrest  that  he  could  not 
afford  to  retain  counsel.   The  Court  appointed 
Squitieri  a  lawyer  at  government  expense.     After 
the  trial  was  over,  we  sought  to  compel  Squitieri 
to  repay  the  government  the  amounts  it  had 
expended  in  providing  him  with  trial  counsel.   We 
did  so  based  on  solid  information  that  Squitieri 
was  a  member  of  the  Gambino  crime  feunily,  was  a 
particularly  close  associate  of  John  Gotti,  and 
derived  substantial  profits  from  not  only 
narcotics  trafficking  but  other  organized  criminal 
activities  as  well.   After  I  took  Squitieri 's 
deposition  and  and  we  made  a  detailed  submission 
to  the  court.  Judge  Carter  ordered  Squitieri  to 
reimburse  the  goveriunent  for  the  payments  it  made 
to  Squiteri's  court-appointed  lawyer.^/ 

Opposing  Counsel:  Michael  Hurwits,  299  Broadway,  New 
York,  New  York,  (212)  619-4240;  Robert  Kiernan,  Esq., 
Hoffman  and  Pollok,  260  Madison  Avenue,  New  York,  New 
York,  (212)  679-2900. 


9.   Dnited  States  v.  John  M.  Poindexter.  Oliver  L. 
North.  Richard  Secord  and  Albert  Hakim.  Cr.  No.  88-080- 
01  (HHG),  -02  (GAG),  -03,  and  -04  March  1988  through 


6/  Approximately  a  year  later,  Squitieri  was  convicted  of 
narcotics  trafficking  in  the  District  of  New  Jersey  and  was 
sentenced  to  a  lengthy  term  of  imprisonment. 

-  20  - 


403 


January  1990,  December  1989-January  1990,  D.s.  District 
Court  for  the  District  of  Columbia,  before  the  late 
Honorable  Gerhard  A.  Gesell  (North)  and  the  Honorable 
Harold  H.  Greene  (Poindexter) ,  0.8.  District  Judges. 

I  was  involved  in  various  aspects  of  the 
cases  against  Admiral  Poindexter,  Lt.  Col.  Horth, 
and  Messrs.  Secord  and  Hakim.   The  four  defendants 
were  indicted  in  March  1988.   During  the  period 
March- June  1988,  I  participated  in  various  pre- 
trial proceedings  and  argued  some  of  the  pre-trial 
motions.   In  June  1988,  Judge  Gesell  granted  the 
defendants'  motions  for  severance  and  ordered  four 
separate  trials,  one  for  each  of  the  defendants. 

I  was  selected  as  a  member  of  the  three- 
person  trial  team  that  represented  the  government 
in  the  prosecution  of  Lt.  Col.  North.   John  W. 
Keker,  Esg.,  was  chief  trial  counsel.   The  charges 
against  Lt.  Col.  North  included,  among  others, 
making  false  statements  to  Congress,  obstructing 
Congressional  investigations,  altering  and 
destroying  government  documents,  and  accepting  an 
unlawful  gratuity.   I  examined  some  of  the 
government's  key  accomplice  witnesses  and  cross- 
examined  a  number  of  defense  witnesses.   Lt.  Col. 
North  was  convicted  on  three  counts  and  acquitted 
on  the  remaining  counts  by  the  jury.   Lt.  Col. 
North's  convictions  were  reversed  by  the  D.C. 
Circuit.   Following  a  remand  to  the  District 
Court,  the  government  dropped  the  charges  against 
him. 

The  decision  of  the  D.C.  Circuit  Court  of  Appeals 
is  reported  at  910  F.  2d  843  (D.C  Cir.  1990),  opinion 
withdrawn  and  superseded  in  part  on  rehearing.  920  F. 
2d  (D.C.  Cir.  1990),  cert,  denied.  Ill  S.  Ct.  (1991). 
The  decisions  by  Judge  Gesell  on  various  pre-trial 
motions  produced  twenty-three  reported  opinions.   As 
published,  they  are  reported  in  clusters:  698  F.  Supp. 
322  (D.D.C.  1988);  708  F.  Supp.  364-40S  (D.D.C.  1988- 
89)  (ten  separate  opinions);  713  F.  Supp.  1436-1455 
(D.D.C.  1989)  (ten  separate  opinions);  716  F.  Supp. 
644-656  (D.D.C.  1989)  (two  separate  opinions) . 

Opposing  Counsel:  Brendan  V.  Sullivan,  Jr.,  Esq.,  and 
Barry  Simon,  Esq.,  Williams  &  Connolly,  725  Twelfth  Street., 
N.W.,  Washington  D.C,  20005,  (202)  434-5000. 


-  21 


404 


After  the  Worth  case  was  over,  and  after  I 
had  left  the  Office  to  enter  private  practice,  I 
represented  the  Independent  Counsel  in  certain 
pre-trial  proceedings  in  the  case  against  Admiral 
Poindexter.   The  pre-trial  proceedings  related  to: 
1)  whether  principal  trial  counsel  for  the 
government,  Dan  K.  Webb  and  Howard  M.  Pearl,  had 
been  exposed  to  the  immunized  testimony  provided 
to  Congress  by  Admiral  Poindexter  in  July  1987; 
and  2)  whether  the  witnesses  the  government 
intended  to  call  at  Poindexter 's  trial  were  so 
tainted  through  such  exposure  that  their  testimony 
should  be  suppressed  at  trial. 

Judge  Greene  ruled  that  there  was  no  basis 
for  disqualifying  Messrs.  Webb  and  Pearl  from 
conducting  the  trial  for  the  government.   Be  also 
ruled  that  all  of  the  witnesses  from  whom  he 
heard  testimony  during  the  pre-trial  hearing  could 
properly  testify  at  trial,  with  the  exception  of 
certain  limits  being  imposed  on  the  trial 
testimony  of  Lt.  Col.  North.   Admiral  Poindexter' s 
convictions  on  five  counts  by  a  jury  were  reversed 
on  appeal  by  the  D.C.  Circuit.   I  was  not  involved 
either  in  the  trial  of  Admiral  Poindexter  or  in 
the  appeal. 

The  decision  of  the  D.C.  Circuit  is  reported  at 
951  F.  2d  369  (1991),  cert,  denied.  113  S.  Ct.  656 
(1992).   The  district  court's  opinion  on  the  matters  in 
which  I  participated  are  reported  at  727  F.  Supp  1488 
(D.D.C.  1989). 

Opposing  Counsel:  Richard  W.  Beclcler,  Esq., 
Fulbright  &  Jaworslei,  801  Pennsylvania  Ave.,  N.W., 
Washington  D.C.  20004,  (202)  662-0200. 


10.   United  States  v.  Mohammad  Z.  Jafar.  Cr.  No.  91- 
123-A,  April-June  1991,  U.S.  District  Court  for  the 
Eastern  District  of  Virginia,  before  the  Honorable 
Claude  Hilton,  U.S.  District  Judge. 7/ 

I  represented  a  31-year-old  Iraqi  national 
who  was  prosecuted  by  the  government  on  two  counts 
alleging  that  he  violated  the  embargo  on  trade 


7/    Judge  Hilton  presided  over  the  trial.   The  pre-trial  motions 
and  other  preliminary  matters  were  handled  by  the  then-chief 
judge,  Albert  V.  Bryan,  Jr. 

-  22  - 


405 


between  the  U.S.  and  Iraq  following  Iraq's 
invasion  of  Kuwait  on  August  2,    1990.   I  began  the 
representation  of  Mr.  Jafar  within  a  week  of  his 
indictment  in  April  1991.   I  was  lead  counsel  for 
all  of  the  pre-trial  proceedings  and  conducted  all 
aspects  of  the  trial  in  court  from  opening 
statement  through  summation.   Judge  Hilton 
dismissed  one  of  the  charges  for  insufficient 
evidence  after  the  government  had  rested  its  case. 
Mr.  Jafar  was  acquitted  by  the  jury  on  the 
remaining  count.   Following  the  acqpiittal,  at  my 
request,  the  government  dismissed  a  charge  against 
Mr.  Jafar *s  father. 

Opposing  Counsel:   Assistant  U.S.  Attorney  Vincent 
Gambale,  U.S.  Attorney's  Office  for  the  Eastern 
District  of  Virginia,  llOl  King  street.  Suite  502, 
Alexandria,  Virginia   22314,  (703)  706-3700. 


17.   Legal  Activities:   Describe  the  most  significant  legal 
activities  you  have  pursued,  including  significant 
litigation  which  did  not  progress  to  trial  or  legal 
matters  that  did  not  involve  litigation.   Describe  the 
nature  of  your  participation  in  this  question,  please 
omit  any  information  protected  by  the  attorney-client 
privilege  (unless  the  privilege  has  been  waited.) 


Over  the  last  decade,  I  have  had  a  series  of  jobs 
that  required  not  only  legal  experience  but  also  the 
ability  to  work  with  and  supervise  groups  of  lawyers 
and  investigators.   The  cases  described  in  my  responses 
to  question  #16  —  particularly  items  #1-4  and  #7-10  — 
required  me  to  devise  investigative  strategies  in 
complex  criminal  investigations;  direct  and  coordinate 
investigations  involving  law  enforcement  personnel  from 
various  federal,  state,  and  local  agencies;  worlc 
closely  with  prosecutors  in  other  districts;  and 
supervise  the  preparation  of  complex  cases  for  trial. 

For  example,  the  cases  described  at  #7  and  #8  in 
question  #  16  above  were  the  result  of  approximately  a 
year  of  thorough  investigation  in  conjunction  with 
agents  from  the  New  York  and  Washington  field  offices 
of  the  Drug  Enforcement  Administration  (DEA)  and 
lawyers  from  the  U.S.  Attorney's  Office  for  the 
District  of  Columbia.   The  case  involved  1)  frequent 
consultation  among  the  various  agencies  involved  in  the 


-  23  - 


406 


investigation;  2)  the  drafting  and  submission  of 
lengthy  wiretap  applications  based  on  law  enforcement 
intelligence  information  and  pviblicly  available 
materials;  3)  the  monitoring  and  analysis  of  wiretaps 
placed  on  multiple  phones  used  by  people  involved  in 
narcotics  trafficking  and  other  organized  criminal 
activity;  4)  the  acquisition  and  comprehensive  review 
of  tape  recordings  made  at  FCI  Lewisburg  of  phone  calls 
placed  by  inmates;  5)  the  coordination  and  supervision 
of  large-scale  undercover  purchases  of  narcotics; 

6)  the  supervision  of  other  lawyers  and  a  tezm  of 
agents  in  the  execution  of  multiple  search  warrants 
made  at  the  time  the  investigation  was  terminated;  and 

7)  the  supervision  of  a  trial  team  of  three  prosecutors 
and  approximately  a  dozen  OEA  agents  in  preparing  a 
month-long  case  for  trial. 

In  addition  to  these  activities,  I  actively 
supervised  a  group  of  2  0-25  lawyers  as  Deputy  Chief  and 
briefly  as  Chief  of  the  Narcotics  Unit  in  the  Southern 
District  of  New  York.   These  supervisory 
responsibilities  involved  frequent  contacts  with  DEA 
supervisors  and  agents,  members  of  the  New  York  Drug 
Enforcement  Task  Force,  members  of  the  New  York-New 
Jersey  Organized  Crime  Drug  Enforcement  Task  Force, 
lawyers  in  the  Office  of  the  New  York  Special  Narcotics 
Prosecutor,  and  day-to-day  supervision  and  management 
of  the  lawyers  in  the  Narcotics  Unit. 

While  working  in  the  Office  of  the  Independent 
Counsel,  I  was  responsible  for  coordinating  the 
logistics  of  the  grand  jury  investigation  and  serving 
as  liaison  to  the  1987-88  grand  jury  and  later  to  Judge 
Gesell.   Beginning  in  the  fall  of  1987,  I  was  assigned 
responsibility  to  head  the  investigative  team  examining 
the  activities  of  the  Department  of  state,  the  CIA,  and 
the  "private  benefactors"  assisting  the  Contras  in 
Nicaragua.   These  responsibilities  involved  the 
supervision  of  7-8  lawyers  and  approximately  a  dozen 
FBI  and  IRS  agents. 

In  private  practice,  I  worked  with  court  officials 
to  establish  and  supervise  a  program  enabling  lawyers 
in  my  firm  to  take  on  criminal  cases  in  D.C.  Superior 
Court  for  indigent  defendants  on  a  pro  bono  basis.   In 
addition,  one  of  the  substantial  criminal  matters  on 
which  I  worked  required  me  to  devise  an  investigative 
strategy  and  coordinate  an  18-month  long  investigation 
designed  to  uncover  evidence  that  would  support  a 
motion  for  a  new  trial. 


24 


407 


II.  FINAMCIAL  DATA  AND  CONFLICT  OF  INTEREST  (PUBLIC) 


List  sources,  amounts  and  dates  of  all  anticipated 
receipts  from  deferred  income  arrangements,  stock 
options,  uncompleted  contracts  and  other  future  benefits 
which  you  expect  to  derive  from  previous  business 
relationships,  professional  services,  firm  memberships, 
former  employers,  clients,  or  customers.   Please 
describe  the  arrangements  you  have  made  to  be 
compensated  in  the  future  for  any  financial  or  business 
interest. 


On  December  1,  1993,  I  left  the  law  firm  of  Mayer, 
Brown  &  Piatt  to  begin  working  at  the  Department  of 
Justice.   I  will  receive  all  monies  owed,  including  my 
capital  account,  which  will  be  paid  to  me  in  a  lump 
sum.   The  payments  will  be  based  on  my  portion  of  the 
firm's  income  for  services  provided  to  clients  from 
January  1993  through  November  30,  1993.   I  will  receive 
no  income  based  on  any  of  the  firm's  services  rendered 
to  clients  after  November  30. 

I  will  retain  my  investments  in  my  independently 
managed  401 (k)  plan.   Because  I  did  not  spend  five 
years  with  the  firm,  my  investments  in  the  firm's 
mandatory  savings  plan  have  not  vested  and  will  be 
returned  to  me  when  I  resign  from  the  firm,  along  with 
the  other  monies  described  above.   My  investment  share 
in  the  plan  is  reflected  in  the  interests  reported  on 
pages  10  and  11  of  the  report  submitted  in  response  to 
question  #4  below. 


Explain  how  you  will  resolve  any  potential  conflict  of 
interest,  including  the  procedure  you  will  follow  in 
determining  these  areas  of  concern.   Identify  the 
categories  of  litigation  and  financial  arrangements  that 
are  likely  to  present  potential  conf licts-of-interest 
during  your  initial  service  in  the  position  to  which  you 
have  been  nominated. 


I  will  seek  and  follow  the  advice  of  the 
appropriate  ethics  officials  of  the  Department  of 
Justice  before  participating  in  any  matter  in  which  I 
or  any  member  of  my  family  may  have  a  personal  or 
financial  interest. 

I  do  not  foresee  any  categories  of  litigation  or 
any  of  my  family's  financial  arrangements  that  are 

-  25  - 


408 


likely  to  present  conflicts  of  interest.   With  respect 
to  specific  conflicts  that  may  arise  in  the  course  of 
fulfilling  my  duties,  I  will  consult  with  the  ethics 
advisors  at  the  Department  of  Justice. 


3.  Do  you  have  any  plans,  commitments,  or  agreements  to 
pursue  outside  employment,  with  or  without  compensation, 
during  your  service  in  the  position  to  which  you  have 
been  nominated?   If  so,  explain. 

Mo. 

4.  List  sources  and  amounts  of  all  income  received  during 
the  calendar  year  preceding  your  nomination  and  for  the 
current  calendar  year,  including  all  salaries,  fees, 
dividends,  interest,  gifts,  rents,  royalties,  patents 
honoraria,  and  other  items  exceeding  $  500  or  more.   (If 
you  prefer  to  do  so,  copies  of  the  financial  disclosure, 
required  by  the  Ethics  in  Government  Act  of  1978,  may  be 
substituted  here.) 

Please  see  the  attached  copy  of  my  Public 
Financial  Disclosure  Report,  8F-278. 

5.  Please  complete  the  attached  financial  net  worth 
statement  in  detail  (Add  schedules  as  called  for) . 

See  net  worth  statement  and  related  schedules 
attached  at  the  end  of  this  questionnaire.   The 
materials  were  updated  to  include  all  financial 
transactions  and  related  matters  that  took  place 
up  through  and  including  January  1,  1994. 

6.  Have  you  ever  held  a  position  or  played  a  role  in  a 
political  campaign?   If  so,  please  identify  the 
particulars  of  the  campaign,  including  the  candidate, 
dates  of  the  campaign,  your  title  and  responsibilities. 

In  the  fall  of  1992  I  attended  several  meetings  of 
a  group  of  approximately  a  dozen  lawyers  supporting  the 
Clinton-Gore  ticket  to  assist  the  campaign  in 
developing  positions  on  law  enforcement  and  criminal 
justice  matters,  including  community  policing,  boot 
camps,  and  various  other  issues.   I  had  no  title  and  no 
responsibilities  other  than  attending  periodic 
meetings.   I  estimate  that  I  spent  approximately  ten 
hours  on  this  activity. 

-  26  - 


409 


III.   GENERAL  (PUBLIC) 


An  ethical  consideration  under  Canon  2  of  the  American 
Bar  Association's  Code  of  Professional  Responsibility 
calls  for  "every  lawyer,  regardless  of  professional 
prominence  or  professional  workload  to  find  some  time  to 
participate  in  serving  the  disadvantaged."   Describe 
what  you  have  done  to  fulfill  these  responsibilities, 
listing  specific  instances  and  the  amount  of  time 
devoted  to  each. 

During  the  approximately  seven  years  that  I  have 
practiced  law  in  the  private  sector,  I  have  devoted 
substantial  amounts  of  ny  time  to  serving  the 
disadvantaged . 

While  I  was  at  Foley  t  Lardner  in  the  early 
1980 's,  I  represented  an  indigent  defendant  on  a  pro 
bono  basis  in  the  D.C.  Court  of  Appeals.   I  spent 
substantial  time  speaking  by  phone  with  my  incarcerated 
client,  researching  the  various  potential  appellate 
issues,  drafting  the  opening  and  reply  briefs, 
consulting  with  partners  in  the  firm  who  agreed  to 
supervise  my  work,  and  arguing  the  case  in  the  D.C. 
Court  of  Appeals.   In  addition  to  the  work  on  this 
case,  I  was  called  upon  at  various  times  to  help  out  on 
other  pro  bono  projects  in  which  the  firm  was  involved. 

After  I  returned  to  private  practice  in  1989,  I 
devoted  a  very  substantial  portion  of  my  time  to  pro 
bono  matters.   I  was  appointed  by  committees  of  judges 
in  the  Onited  States  District  Courts  for  the  District 
of  Maryland  and  the  District  of  Colximbia  to  panels  of 
lawyers  deemed  qualified  to  handle  criminal  cases 
involving  the  representation  of  indigent  defendants.   I 
took  on  matters  on  a  pro  bono  basis  in  both  courts.   In 
addition,  federal  judges  in  the  District  of  Columbia 
from  time  to  time  called  on  me  to  represent  individual 
defendants  in  special  circumstances,  and  the  Federal 
Piiblic  Defender's  Office  requested  that  I  represent 
witnesses  in  grand  jury  investigations.   Although  these 
assignments  were  for  the  most  part  in  criminal  cases,  I 
accepted  court  appointments  in  civil  cases  as  well.   In 
addition,  I  established  the  program  —  mentioned  in  my 
response  to  question  #17  above  --  in  D.C.  Superior 
Court  that  enabled  lawyers  in  my  firm  to  represent 
indigent  defendants  in  criminal  cases  on  a  pro  bono 
basis. 

Altogether,  my  time  records  for  the  four  years  I 
spent  at  Mayer,  Brown  (  Piatt  reflect  that  I  spent  a 

-  27  - 


410 


total  of  approximately  800  hours  on  pro  bono  matters. 
This  figure  does  not  include  the  time  spent  to  arrange 
for  various  associates  in  my  firm  to  undertake  pro  bono 
projects  and  my  active  supervision  of  those  projects. 

I  describe  below  specific  pro  bono  matters  that  X 
undertook  on  behalf  of  indigent  clients  that  took 
substantial  amounts  of  my  time. 

A.   In  1990,  I  was  appointed  by  the  U.S.  District 
Court  in  D.C.  to  represent  an  indigent  defendant 
charged  with  possessing  with  intent  to  distribute 
a  small  quantity  of  crack  cocaine.   Ultimately,  my 
client  entered  a  conditional  guilty  plea, 
reserving  the  right  to  appeal  the  District  Court's 
ruling  on  a  suppression  issue.   I  handled  all 
court  proceedings  in  the  District  Court  and 
supervised  an  associate's  handling  of  the  appeal 
in  the  D.C.  Circuit.   The  D.C.  Circuit's  decision 
affirming  the  District  Court's  denial  of  the 
suppression  is  reported  as  United  States  v.  Ramos. 
960  F.  2d  1065  (D.C.  Cir.  1992).   Personal  time 
spent:  165  hours. 


B.   From  December  1990  through  April  1992,  on 
appointment  from  the  U.S.  District  Court  in  D.C, 
I  represented  a  Federal  Protective  Service  police 
officer  who  had  been  sued  in  a  personal  injury 
action  arising  out  of  serious  injuries  suffered  by 
the  plaintiff  in  a  high-speed  chase. 

The  government  originally  agreed  to  represent 
the  officer  but  subsequently  took  the  position 
that  his  involvement  in  the  chase  was  not  within 
the  scope  of  his  employment.   We  persuaded  the 
Court  to  certify  that,  contrary  to  the 
government's  position,  our  client  had  at  all  times 
acted  within  the  scope  of  his  employment. 
Accordingly,  the  government  was  substituted  as  the 
defendant  and  our  client  was  dismissed  from  the 
case.   We  began  the  representation  on  a  pro  bono 
basis.   The  Court  on  more  than  one  occasion 
requested  that  we  file  a  fee  petition  and 
subsequently  ruled  that  we  were  entitled  to 
certain  fees  and  costs.   The  case,  Mebane  v. 
Turner,  is  reported  at  789  F.  Supp.  410  (D.D.C. 
1992).   The  issue  of  attorneys'  fees  and  costs  is 
currently  pending  in  the  D.C.  Circuit.   Personal 
time  spent:  2  05  hours. 


-  28  - 


411 


C.   In  1993,  in  an  executive  branch  agency  other 
than  the  Department  of  Justice,  I  represented  a 
criminal  investigator  charged  with  serious 
violations  of  departmental  rules  and  threatened 
with  the  loss  of  her  job.   After  supervising  an 
extensive  investigation  into  the  factual  basis  for 
the  threatened  dismissal,  ve  reached  a  settlement 
permitting  my  client  to  voluntarily  resign  from 
the  agency.   Personal  time  spent:  108  hours. 


Do  you  currently  belong,  or  have  you  belonged,  to  any 
organization  which  discriminates  on  the  basis  of  race, 
sex,  or  religion  —  through  either  formal  membership 
requirements  or  the  practical  implementation  of 
membership  policies?   If  so,  list,  with  dates  of 
membership.   What  have  you  done  to  try  to  change  these 
policies? 


No. 


-  29 


412 


3g     1^-? 

e  I  e  S  2  •  ''• 


illlil 


•2 lip  It 


•8 

tit  £-S 
o 

3  a. 

=  -=( 


at 

-•i5D 


•3  £  »° 

a.  » 


—  -O  ^  [r^    w 


•    w    r    £    ■ 
~  ^    a  O    C 

r"  a.  u  V  o 


11 

2  c 

s^ 
22 

V  o 

2*; 

•  *»  - 

ill 

c  c  S 
0  a  > 
2U£ 


a  a 

*"       -o 

O    c    « 

ill: 

C  .2  ^ 

Fgg 

CJ    O    9 


S5| 


1  =  2 

a  "  -* 
■°  c  2 

•  £  >s 

a.." 
=  3.£ 
^  S£ 
S,!  » 


1  IM- 

•=       -J    Q.  j^ 


CL-s  =-S  o 

-   o  *.  • 

O  C  S  c  J 
»   8.  £  "  -o 

■5  9^3  = 
"£  S  S.  J 


I!- 

(J  "   w 


lit 


fir 

o  "  a 


^    7    V 

'I- 
St? 


"8 


Ej 


■g  ff  S  c 


J.  o 
-  «3 


I 


[I 

il 


w 

O 


L 


0- 


1^ 


c 

o 
o-c 


-V) 

^.   , 
£2 


J 

I 
D 


II 

111 


r? 

•2  1 


5 


c 

i 
< 

c 

£ 

C 
o 

a 


=   c* 

<£ox 


D 


€ 

o 

o 


5 
3 
S 

1  i 


^54 
5^  t 

li 

IS 

III 


D 


413 


tmJMf^ 


ooo"oo<n»  •a»o 


OOO'OOO'IS  '  tOO'OOIS 


OOOOOTt^IOO'OS* 


OOO'OS* '  lOO'SK 


A 


if 


a". 5 
CO 


o 


5(t 


^§ 

CZ.  0 

■  J 

■F 


^r- 


o 


v 


^< 


< 


x: 


•K 


vS 


o  ^ 


I.? 

21 


n 


ti 


0) 


414 


sThi: 


15 


l^ 


■S 

i 

3 

II 

O  *• 

eS 

i.s 

§1 
II 

I" 

c  S 


111 


2^. 


^x-;:^OppWt»  :  I00'0«» 


W:'-  i  r  «» »t«M0O  S$ 


Sol 


g^,,  t:VpOO'000'If  ■"'O 


OOOOOO'IJ-  lOO'OOIS 


OOO'OSS'  [DOS It 


ooost  ■  lOS'ZJ 


=;  r;     -r.-      OOSl*  ■  100  t» 


OOO'tt '  IOZ$ 


(lOMn»<0  ""I  •■»)»<»(< 


..      *- 


ik 


JTHlfUTl"* 


iscux  p*jda»x3 


pan^ia9Ciz}t3AUi  p»vJaoz3 


■ai»0  (»1!<*»D 


imaiui 


9n(«A<7y  pua  laay 


•pcupuid 


000  000  It'^O 


jlU^jj^OOO'OpO'Ur  totfoost 


OOO'OOSt    lOO'OSZS 


^^^■j'  .ooo'osa.-joQ:oott 


000 ooit  ■  lOOOS* 


V^i 


.:.ooowtr.ioosis 


OOOSIJ-  lOOIt 


9(  JO)  >aof,] 


31-3 


sis" 
3ls3 


Hi 


n 


II 
=  1 


ili: 


rt.^^K. 


]: 


-  I-* 


Jt 


>^ 


>< 


XL 


> 


If^  QO 


El 


l^CT'f) 


s 


£ 

v3 


y 


C   _^ 


Ti 


S| 


S    Q.. 


^ 


I 


(2  9 


/J  i/iU  "^  ■» 


^ 


i 


-^^ 

H 

HZ 
3  Si 

H 


415 


.5%  ti 


°r 


s 

m 


"  S 


c  s 

o  •— 
ZO 


c 


o.— 
>.  >. 
iJ 

e 

is 


<|     oPl 


000'000'1$  ""O 


OOOOOOII    100001$ 


-i?000'OOI$-lOOOSS 


ooo'oss-  lOO'SI* 


-QOO'SIJ- too'st 


000  S$  •  IDS  Z$ 
OOS'l$lOO'I$ 


0001$-  I0Z$ 


(IOa'>"H)'«[-'»)»"»N 


I   il 

O       top 


v"xp*!jn""6 


isiuj,  p^dm3 


pai\j)aaQZ)S9AU[  p»tdMX3 


SUIBQ  ]V)id«3 


■T^"^--> 


ltaj»»ui 


•arnvXoy  pi™  -jusy 


FpOSplAlQ 


X 


OOOOOOW^M) 


00O'0OO'T$-I0O'CO9$ 


O0O'0OS$  -  IOO'OSZ$ 


S-2.S  8 
3        S" 


OOOOSJI-IOD'OOIt. 


000001$  •  IOOOS$ 


-  '«>i    O0O'OS$-.tO0'9IJ 


d 

> 


0009IJ  •  100  1$ 


.  (I00'lt'"f  '"I  ■">)  »ooN 


« 
E 

o 
o 

c 

c 
a 

m 


11° 
111 

5  •- 
^  -o   • 

£•£  s  i. 

^   o   •    £ 

2j;i 


J 

3  o  o 

!?! 

°  s  s 
is." 

■g-5  ^ 

»    o    •*    i; 

2-S  c  i 


D 


J 


,     c 


c 

o 


0 

> 


in        2      k 


\gl'^l\  a:^'^ 


ViiA 


\  aiQ 


Vt::^ 


o 
ca 

eg     si 
-0    ^ 

it:  a. 


416 


iin 


3 

Q 


O 

CO 


o 


s   o 

.2 


ZO 


o  .S 
H-o 


o  S 


35^ 


8% 

I 


<"o  te 

CO   c 
O   u  '5    . 

-  ■>'  S  ' 
a  «  g. 


:|     oPi 


000'000'lJ  •'»*o 


OOO'OOOIS    lOOOOIS 


-v.  ooooois.-ioo'oss-^,. 


OOO'OSS  '  tOO'9IS 


000'9It-lOO'SS 


OOOSS    IC«Z$ 


OOSKIOO'IS 


OOOIS     103$ 


(l(K*  <"•{»  "'\  ■">)  '""N 


I  II 

O       tnP 


~jiruj7p»ijii»n5~ 


isruj.  p«tda3i3 


pan^j  )a»tU)v3AUi  (>»)dux3 


CUIBQ  |«iido3 


]SU7)UI 


nril"'^^  P"'  '"'a 


tpaaptAiQ 


000  000  I  S"»0 


O0O'0OO'T$-T0O'0O9$ 


OOOOOSt  ■  lOOOSZS 


ooo!osjs-.ioo'ooi* 


ooo'oois  •  lOOOS* 


000'09$  MOO'S  It 


OOOSItlOOIJ 


(lOO'It  "•P  ••»!  •»)  '""N 


11 


:••  C 


5  >  5 

3  "  S 

;  3  E 

o    •    . 

s  s5 

2    •    ?• 


m   O 


I 


D 


J  S 


E 


8    > 


c 


J 
-■a 

i 


'Ori^  S  '^ 


L 
o 


C 


e 

X 
CO 


o 


6 
i 

o 


(^ 


~?W^ 


417 


1  V3 


t 

o 

GO 


s 


5e 
is 


ZO 


i.S 


B    c 

§..= 

&  >> 
f.  is 
o  c 
E  " 
o  ^ 

c  *» 
M    o 


5 


o  § 

X 


r:^ 


o 


c  ^  c 

O    0-3 

.3  —  a 


;  a  s 


OOO'OOO'lt  -"M) 


OOO'OOOIJIOO'OOl* 


"OOO'OOTJ-IOO'OSS 


00009$  -  I00'9IJ 


000'9I*  -  lOO'St     r 


oooss  •  lOSZS 
OOSK  •  lOO'tJ 


OOO'It    lOZJ 


(lOZJ  tniij,  ns|  JO)  iuo^ 


o     |f? 


}jiuj,paijii»nft 


"j«njj7p*i3»3x3~ 


pDI\j)U9IU)*3AU[  p9)da3X3 


vui*9  (ffjidsQ 


mu)U[ 


nniBJCoy  pui  7u»a 


ipnspiAiQ 


0000001$  •'»*0 


.  000'000'l$.-100'009t 


000'009$  -  10O'OSZ$ 


ooo'osz$.-  too'ooi$  •■ 


000001$  ■  10005$ 


ooo'os$-  IOO'SI$ 


00051$  •  100  1$ 


(I0O'I$  ^V  s"!  •">)  »o»N- 


;  »•  = 

§  o  S 

s  «  * 

S  «  S 

•  >  « 

c  o  c  .2 


D 


X 


V 


^ 


1^4 

III 
I* 

u 


IS3ZS3KZ 


1 


li 


_K. 


I 

r 


PC> 


I 


CD 


1 


:s^ 


tfJl\n 


■>  »-^ 


418 


{•^ 


a 

2   — 


SHI 


^ 

3 

u 

CM 

P 

•< 

J3      - 

-   6 

S5 

u 

k     0  ^ 


ZO 


c  ta 
i.S 
E-o 

a   or 


o  c 

£  » 

o  i; 

c  S 


<-3fe 

•    ••   1 

O   <J  .3    • 

■a    *• 

> 


O  S 

I 


-5  f 


5|  IpI 


OOO'OOtfIS  ■'»»0 


OOOOOO'IS  100001$ 


!<.OOOOOIS:IOOOS*  . 


00009*  •  I0O'5I» 


:  V  OOO'SIS  -  I00'9t 


000  s*  ■  lOS  zs 
ooszs  loots 


000' IS-  lOZS 


(tozs''"'n«"i-">)»"ON 


o   !■(? 


wnjj,  |»ijri»n5 


isiux  p*ldM«3 


patxjj  ia»uJis>AUi  p»idwz3 


CUISQ  iv^idsQ 


)SU»)UJ 


uni«^o^  pu«  iu»y 


cpa»piAiQ 


000  000  IS  -""O 


00O'000'lJ-I00'009J 


000'009S  ■  lOO'OSZS 


OOO'OKS  -  lOO'OOIS 


000001$  •  I000« 


000  09$ -100  51$ 


00051$  ^001$ 


(lOO'lS  """O  '"I  •■<>)  »o<>N 


5| 


^  •- 


--■8 
•»  c 

I" 

:  a 


8 

Hi 

O      *      tt 

s  =  c 
:  » £ 

•S-5  ^ 
SEE  1 


D 


2L. 


^■^'^ 


K 


0 


o 

U 

o 


e 


? 


0 


■«•?,  Tl 


c 

o 

I 
o 

o 


«0 


V5    V 


C^ 


X 


c 

O 

iiP- 


419 


24; 


c 

a 

9  •- 

3.x 


-  8 
^5 
§.S 

C    o 

"   c 

&■= 

o   g 

c  ■•-» 
«   o 


o  S 

I 


io  i 


■i   ooo'ooo'is  -""O 


OOO'OOOIS    lOO'OOIS 


^i^OOO'OOl  J  •  lOO'OS* 


ooo'os*  ■  lOOSIS 


>•    .ooo'sis  -  lOO'SJ 


OOOM    I0S3$ 


OOS'ZS-  lOO'IS 


ooois  ■  10Z$ 


(I0M''"tl«"I-"»)»"ON 


O       lof-^ 


»5njj,  psijTi^n^ 


isnjj,  p^d>}>3 


panj  )a9(U)saAUj  p»id»3X3 


suiB^  leiid«3 


)S»J»)U1 


S»n|VXoy  pU«  1U9}J 


CpQSpiAIQ 


■n-i'-'-aA 


.*«■: 


2<^ 


J^ 


JL 


000  000  IS  ""O 


3     .2 

<"o  fe 
o  •  °-' 

CO   c 
O   u  '13    . 

a  «  §. 

3         » 


OOO'OOO'IS  -  lOO'OOSS 


OOO'OOSS  -  lOO'OSZJ 


COO'OSZJ  •  tOO'OOIS 


OOO'OOIS  ■  lOO'OSS 


OOO'OSS-  I00'9IS 


OOO'SIS  ■  lOO'IS 


(lOO'IS  ""m  '"i  ■">)  '""n 


c 
a 


O  T3 


..s  i 

ill 

! !  a 


D 


E 
c  2 


»  > 


c 

l1 

el  3 


^^^ 


>8 


c 
o 

o 


■I- 


jIML 


-v«-s- 


420 


Z 

1 

Income;  type  and  amount.  If  "Nona  (or  leas  than  $201)*  it  checked,  no 
other  entry  is  needed  in  Block  C  for  that  item. 

BLOCXC 

I     '     ' 

' 

•A 

c 

3 
o 

e 

< 

<|      <§P| 

•  8  ■       ■ 

'  5  '        ' 

< 

5 

Q 
O 

■t    i^ir.'  -.O^f.'OOO'lS  ""^^ 

••u*•^^:a^:!i•; 

*->i-' 

-■-■   •,' 

ooo'ooo'is  ■  lOO'OOlt 

4  ■      ^:  OOO'OOI  J  -  lOO'OSt . 

■•:;•■• 

ooo'oss  •  100SI$ 

1         '         ' 

•    V.    ooo'sis-too's* 

;,■■■•••->.<■:■ 

0009$  ■  1093$ 

1      •  ■  • 

ooszstoois 

•*  t      '      ' 

>f 

OOO'IS     103$ 

:    .    . 

>^ 

>< 

(l0Z$'n"O«»I-'°)»>'<'N 

.      '    .J." 

-< 

X 

X 

I 
^ 

1       P 

:i  ■ 
:5_: 

>siHL  p»'jn«"6 

,.    ,1    . 

ISTUJ,  p*)d*3X3 

ponj  iU9uris»AU[  p»id»3X3 

. 

X 

SUIBQ  (OlldBQ 

IsajTiui 

' 

X 

MHIB'tc^  puoiuay 

cpa»ptAiQ 

■  ' 

X 

K 

X 

-< 

< 

Valuation  of  Assets 

at  close  of 

reporting  period 

BLOCKS 

000'000IS-'"O 

OOO'OOO'TS  -  lOO'OOSS 

'     ' 

> 

ooo'oo«  ■  lOO'OSSS 

OOO'OSZS  - 100001$ 

:  ;- 

000001$  ■  lOOOSS 

ooo'oss-ioosis 

00O'Sl$-  1001$ 

;    : 

•<■ 

K 

v: 

X 

X 

X 

(I0O'I$  "'"O  "»l  '")  """"N 

1         r 

£ 
o 
o 

c 

1     , 

a          j; 

■ 

< 

Identify  each'aaaat  hald  for  tha  produc- 
lion  of  incomt  which  had  a  fair  market 
valua  eicMdini  $1,000  at  tha  cloaa  of 
tha  reporting  period. 

Identify  each  asiet  or  source  of 
income  which  generated  over  S200 
in  income  during  the  reporting 
period 

NoneD 

mi 

;  ■  4  ■  1 

1 
s 

i. 

* 

1 

i 

0 

Z 
I 

0 

u. 

d 

X 

J? 
c 

i2  ^ 

2    0 

c 

0 

£ 

0 

c 
f 

0 

V 

1 

0 

0^ 

o 

f 

2. 

o 

(A) 

1 

5i 

X 

;  o 

1(0 
2 

:0 

J 

is 

1 

-»■    X   >  - 

y^i- 

rJi-* 

"^V 

/i-i* 

-^A*' 

s3»  jH 

421 


422 


1 

Income:  type  and  amount.  If  "None  (or  lesi  than  $201)"  is  checked,  no 
other  entry  is  needed  in  Block  C  for  that  item. 

BLOCK  C 

iHj 

c 

3 
O 

E 

< 

If      III 

i|:    : 

< 

Q 
O 

g:jj£"*,:Ooo'ooo'is  "*o 

;^.ks:^ 

-J, , 

.'    ■■ '  ■  ' 

OOO'OOOIS    lOOOOIS 

i^J:.;^000'00lS  1 100'09S 

|-  •.|'.''  [  -z 

- 

OOO'OSS     lOOSIJ 

f\        .;.    ■  000'9I$  -  tOOS* 

OOOM    lOSM 

.  -  . 

K 

OOSZS    lOOIS 

. 

>< 

>< 

^ 

OOO'tS     10Z$ 

x^ 

'    (tozt  I'm  ">f  ■">)  »"oN 

1      '  1 '  »* 

a 

1  Jl 

^\\ 

- 

)sruxp*ld»0X3 

pon  j  }a»un«*AUi  p»id»9X3 

;  . ;  . 

X 

>^ 

v: 

y 

X 

tuieQ  [ffiidsQ 

isaj»iu[ 

saqieXoy  pu«  luay 

cpaaptAiQ 

- 

V 

X 

x 

< 

^ 

S      .2 

^'    O    V 

000000' I  S"«0 

000'000'It-IOO'OO.^ 

1    .  - 

00000«     10009Z$ 

ooo'oszs  -  lOOOOIJ 

I  - ! 

00000 IS  ■  I0O0«S 

- 

000'05S-  lOO'StS 

" :   i 

X 

OOOSIS     lOOlS 

X 

X 

X 

x: 

(loo'is  ""m  "'[  ■">)  "ON 

£ 
o 
u 

e 

■o 
c 

a          J 

m             ^ 
»             " 

m 
< 

Identify  each  Bital  held  for  the  produc- 
tion of  income  which  had  «  fair  marltet 
value  eiceedini  $1,000  at  the  cloie  of 
the  reporting  period. 

Identify  each  asiet  or  source  of 
income  which  generated  over  $200 
in  income  during  the  reporting 
period. 

NoneD 

E 

j: 
i : 

< 
• 
b   ■ 

J; 

f.   : 

•  u.  ■   a. 
5    •    J.   -5 

I:    rl 
■i:  J:5 

o 

t-1 

"2 

ii 

'^    It 

u.  u: 

-5? 
5    f 

1^ 
if  ^ 

o 

? 

4 

1 

u 

1  (^ 

J 

D 

r 

..     H    >    - 

/^ 

^A'^ 

f'i^rt  ^\ 

*»  ?^fl 

c 

i 

423 


i^^^ 


z 

L 

El 

s 


o 

I  a: 

CQ 


oafoouT 


D 
8 

z 


ootrsii 
-looru 


Si 


£  S.S-. 


iilll^ 


11 


(A 

c 
m 
o. 

X 

> 

T3 


C 

s 

3 

ha 
O 


« 

z 


5EI3 


I 


? 


» I'- 
ll i  I 

5r  It 

S  ^  -9  = 
S  -a  a  i 

1-2  tit 

rS    S    E2    u 

»  —  _   "   • 

3  ^   o  «  ^:: 
g   s»   c   3 

£  15  8.S 


■s?  S  s  - 
3  S  S.e| 

^  s-    -    ha  c 
C   u  S   w   o 

--  s  =  -  ^ 
•  .2  "^  ?i  5 

i-S  E  c  2 

■a  s  <3  r," 
=  s  is  -  r 

73  J  M  a  ^ 


0^0^ 

■  3  3  S  > 
■  9  S  - 
*    P    C    a, 

«  a  S  c 

X  ?  =  -! 
t » E3: 


11 


424 


CO 


■X. 

u 

r 
o 
a: 

I 


IS 

i 

z 


oeofonrn 

-  lUVUM 


oonu 
lotrou 


it) 


h 


il 


1^ 

111 

as  5 

III 


iXi,^ 


c 

E 

be 

c 
(d 

u 
u 

< 
u 

O 

vt 

C 
0) 

g 

0) 

u 
be 


la 


II 

El 


^2 
>.  o 


C     fti     " 

S     >.    C 

lie 
°  £  2 

lis 


e  s  8 

Ml 
'  =  1 


•^      g  S 
*-     *  • 


g.  >  -a 
<2Ji 


il 
h 


55 

il 
}) 

is 

!i 
11 


425 


6. 


-ot- 


I 


SI 


QucS 


M 


DD 


=  =  si 

S   «  fl  ^ 

^  t-uz 


0) 

u 

In 
3 

o 

CO 

a) 

c 


lis 


s"  s  I 
» <•« 

c  S3 
*  .Si    « 

:  £-5 
c  $  t 

S   •   o 

'-    ^     S 

o  a  ^ 


3  O 

9  ^ 


O 

in 
«5 


^  t  2 

HI 

O    -J     ^ 

^  -  « 

4,  -O    ; 
>     3     C 

V     O     V 

i;  >•  e 

c  >^  q 
c-°  - 

O  _>.    3 

111 
115 


C 

c 
a 


Ie 


u 


«  —  -X 

s.  :  c 


c 

c 


I 


ir 


o 
0 


3 
<: 

c 
<: 

3 
c 


5r 


i) 


o 


4 


r 


1^ 

hi. 

a.  -> 

■1  ^ 


^1 


1^ 

4 


I 


1^ 


426 


427 


s. 
o 

5 

o 

i 


« 

g 

z 


--.£5 


01 


I-  t  S  3 


5I 


a. 

i 


DD 


■  i^  < 

>  t  c  w 
i  «  «  o 
:H02 


•S  e 


II 


£  si 


U 

Lm 

3 
o 

CO 

0) 

c 


J3 


£5 

St 


."2  ^ 


cu 

o 
o 
q 


C/l 

O 


•   So 


lis 


*3 


c    ~  ~ 


ii    E  S  c 


(A 

c 

a 

S 

o 
O 


!£•? 


?  E 


o  2^ 


S   c-g 
K  J    S. 


i> 


1 


-e 


i_5 


lJ 


■4     - 


M     i 


c 

c 

<r 
0 


1  I 


c 

c 
o 


c 
J 

o 

6 
h 


3 

1 
o 


J 


.  c:  i/'i.i^'z^-^. 


r 

C 
o 


428 


^ 


429 


FINANCIAL  STATEMENT 
NET  WORTH 


Provide  a  complete,  current  financial  net  worth  statement  which  itemizes  in  detail  all  assets  (including  ban: 
accounts,  real  estate,  securities,  trusts,  investments,  and  other  financial  holdings)  all  liabilities  (including  debts 
mortgages,  loans,  and  other  financial  obligations)  of  yourself,  your  spouse,  and  other  immediate  members  o 
your  household. 


ASSETS 

UABIUTIES 

Ca<h  on  hind  and  In  banks              *1 

fi7.170 

-lA 

— 

Notat  payabia  to  banks — aacurwj    iQ/ 

Nota*  payabia  to  banks— URsacurvd 

Notat  payabia  to  ratattva* 

Nota*  payabia  to  othan 

Accounts  and  bills  dua  Cexcludine 
items.  o;i   current    billing   cicT.e 

Raal  astata  mortsaget  payabia — add 

aehadula      (schedule   H) 

Chattel  mortjagei  and  othar  Hans 
paytbia 

Othar  dabts — Itamlze: 

0 

on 

._ 

U.S.  Covammant  iacafrtJa»— add     , 
•chadula                                             '' 

10,187 

50 

.. 

0 

00 

~ 

Uatad  aacuritiat — add  tchadula      *3 
Unllrtad  »acur1tia« — add  ichadula 

339,315 

20 
00 

— 

0 

00 

— 

0 

0 

00 
00 

— 

0 

Accouna  and  notn  racarmbla: 

Oua  from  ralatiws  and  friandt 

0 

OC 



0 

00 

— 

Dua  Irom  oChara 
Doubtful 

0 
0 

00 
00 

— 

JL 

240,810 

,1111 

98 

Raal  aetata  ownad — add  achadula   *i, 

■(7?    7q-( 

nn 



0 

00 

Rail  rtuta  mortsigai  racaivabla 

0 

00 



— 

Autot  and  othar  panonal  proparty  *^ 

37,075 

00 

— 

0 

00 

~ 

0 

on 

-^ 

Retirement   Accounts        *6 

122,532 

80 

_. 

Capital   Account                   *7 

53,50( 

00 

__ 

- 

ToUl  liabiUUas 
Nat  worth 

240.810 
783,982 

98 

87 
85 

1,024.793 

85      — 

— — 

Toul  aiMts 

Total  liablllUes  and  n«t  «>orth 

1,024,793 

— 

CONTINGENT  UABILmCS 

GENERAL  INFORMATION 

Ai  tncorur,  comakar  or  (uanntor 

0 

00 

— 

A/a  any  assati  pladgaiQ  (Add  aehad- 
ula.) 

Art  you  dafendant  In  any  tuKs  or 
iagal  actions; 

No 

On  laasai  or  eontncts 

0 

00 

— 

l.a(al  Claims 

0 

w 

— 

No 

^Tv^io',  fer  rtrtanl  trsr—Tit  T— 

0 

nn 



Otnar  tpacial  dabt                                t 

0 

00 

— 

Hav*  you  avwr  tskan  baniuuptcyr 

No 

« 

- 

*1 

See 

Schedule 

A 

*2 

See 

Schedule 

B 

*3 

See 

Schedule 

C 

*4 

See 

Schedule 

D 

*5 

See 

Schedule 

E 

*6 

See 

Schedule 

F 

*7 

See 

Schedule 

G 

10/   See  Schedule  H,  footnote  4. 


430 


^ 


OWKERSHIP 

JT 

DRB 

JEB 

KAB 

FBF 

DRB 

JEB 

KAB 

NRB 

FBF 

FBF 


SCHEDULE  A 
CASH  ON  HAND  AND  IN  BANKS 
ACCT./FDND 

Kemper  Money  Market  Fund 

Kemper  Money  Market  Fund 

Kemper  Money  Market  Fund 

Kemper  Money  Market  Fund 

Paine  Webber  Money  Fund 

Paine  Webber  Money  Fund 

Paine  Webber  Money  Fund 

Paine  Webber  Money  Fund 

Riggs  National  Bank  Checking  Acct. 

Riggs  National  Bank  Checking  Acct. 

Riggs  National  Bank  Savings  Acct. 


MARKET  VALtJE 


$ 

23,850.00 

$ 

7,291.00 

$ 

7,291.00 

$ 

301.00 

$ 

33,505.30 

s 

3,278.00 

$ 

3,185.00 

$ 

5,469.44 

$ 

2,000.00 

$ 

500.00 

$ 

700.00 

TOTAL: 


$   87,370.74 


MRB  =  Michael  R.  Bromwich 

FBF  =  Felice  B.  Friedman  (wife) 

JT  =  Jointly  held  by  Michael  R.  Bromwich"  and  Felice  B.  Friedman 

DRB  =  Held  in  Trust  for  Daniel  R.  Bromwich,  Age  7 

JEB  =  Held  in  Trust  for  Jonah  E.  Bromwich,  Age  4 

KAB  =  Held  in  Trust  for  Kira  Anne  Bromwich,  Age  10  months 


I 


431 


SCHEDOLE  B 


U.S.  GOVERNMENT  SECURITIES 


WNERSHIP  SECURITY  MATURITY  MARKET  VALUE 


BF  10,000  FFCB  MTN       5/15/01  $   10,187.50 

Callable  rate: 
8.65% 


TOTAL:  $   10,187.50 


•?B  =  Michael  R.  Bromwich 

3F  =  Felice  B.  Friedman  (wife) 

r  =  Jointly  held  by  Michael  R.  Bromwich  and  Felice  B.  Friedman 

RB  =  Held  in  Trust  for  Daniel  R.  Bromwich,  Age  7 

SB  =  Helc?,  in  Trust  for  Jonah  E.  Bromwich,  Age  4 

\B  =  Held  in  Trust  for  Kira  Anne  Bromwich,  Age  10  months 


432 


SCHEDULE  C 


LISTED  SECURITIES 


OWNERSHIP 


SECURITY 


WO. /TYPE 


MARKET  VALUE 


I.   INDIVIDUAL  EQUITIES 


FBF 


FBF 


FBF 


FBF 


Avecmco  Corp. 


Amoco 


Catellus  Dev. 
Corp. 


500  Conumon 


2  00  Common 


Bellsouth  Corp.    150  Common 


2  00  Common 


$  9,437.50 

$  10,600.00 

$  8,700.00 

S  1,550.00 


FBF 


Consol .  Nat. 
Gas  Co. 


200  Common 


$    9,400.00 


DRB 


Consol.  Nat. 
Gas  Co. 


100  Common 


$    4,700.00 


JEB 


Consol.  Nat. 
Gas  Co. 


100  Common 


$    4,700.00 


FBF 


FBF 


Dow  Chemical 


Fed.  Paper  Bd. 


2  00  Common 


4  00  Conv.  Pref, 
2.875 


$   11,350.00 
$   19,800.00 


FBF 


General  Motors    3  00  Common 


S   16,462.50 


< 


433 


SCHEDULE  C  (CONT'D.) 


PAGE  2 


OWNERSHIP 


SECURITY 


NO. /TYPE 


MARKET  VALUE 


FBF 


JEB 


FBF 


FBF 


DRB 


FBF 


DRB 


GTE  Corp. 


GTE  Corp. 


Nynex  Corp. 


Nynex  Corp. 


Pacif icorp. 


RJR  Nabisco 
Hldgs.  Corp. 


200  Common 


100  Common 


NYS  Elec.&  Gas     78  Common 


2  00  Common 


2  00  Common 


2  00  Common 


200  Cum  Pref. 


$  7,000.00 

$  3,500.00 

$  2,369.25 

$  8,025.00 

$  8,025,00 

$  3,850.00 

$  5,000.00 


JEB 


RJR  Nabisco 
Hldgs.  Corp. 


100  Cum.  Pref. 


$    2,500.00 


FBF 


Santa  Fe  Pacific   300  Common 
Corp. 


$    6,675.00 


FBF 


Santa  Fe  Energy    100  Common 
Res.  Inc. 


925.00 


FBF 


JEB 


Schlumberger 
Ltd. 

Schlumberger 
Ltd. 


2  00  Common 


2  00  Common 


$   11,825.00 
$   11,825.00 


434 


SCHEDDLE  C  (CONT'D.) 


PAGE  3 


OWNERSHIP 


SECURITY 


NO. /TYPE 


MARKET  VALUE 


FBF 


Sierra  Pacific 
Resources 


100  Common 


S    2,050.00 


JEB 


Signet  Banking 
Corp. 


100  Common 


$    3,475.00 


FBF 


FBF 


FBF 


Telef.  de  Mex. 


Texaco  Inc. 


200  Common 


100  Common 


Time  Warner  Inc.   320  Common 


$  13,500.00 
$  6,475.00 
$   14,160.00 


SUBTOTAL: 


$  207,879.25 


MRB  =  Michael  R.  Bromwich 

FBF  =  Felice  B.  Friedman  (wife) 

JT  =  Jointly  held  by  Michael  R.  Bromwich  and  Felice  B.  Friedman 

DRB  =  Held  in  Trust  for  Daniel  R.  Bromwich,  Age  7 

JEB  =  Held  in  Trust  for  Jonah  E.  Bromwich,  Age  4 

KAB  =  Held  in  Trust  for  Kira  Anne  Bromwich,  Age  10  months 


J 


t  435 

SCHEDDLE  C  (CONT'D.)  PAGE  4 


II.   MUNICIPAL  BONDS  k    NOTES 

OWNERSHIP         SECroiTY  MATDRITY 


FBF 


JEB 


KAB 


MARKET  VALUE 


FBF  Arizona  Cert.      3/1/03  $   22,196.60 

of  Partic. 

^^^  N.Y.  State  Hlth.   11/4/04  $    5,741.00 


Wash.  D.C.  G.O.    6/1/09  $   10,336.50 


DRB  N.Y.  St.  Urb.       1/1/05  $   15,366.00 

Corp. 

DRB  Ford  Capital       5/1/98  $   n, 362. 50 

BV  Notes 


NY  State  Dorm.     5/15/05  $   16,345.80 

Univ.  Ed. 


Time  Warner  Inc.   4/1/17  $   21,050.00 


SOBTOTAL:  §  102,398.40 


MRB  =  Michael  R.  Bromwich 

FBF  =  Felice  B.  Friedman  (wife) 

DRB  -  it\T]l   S^^^*'^  Michael  R.  Bromwich  and  Felice  B.  Friedman 

DRB  -  Held  in  Trust  for  Daniel  R.  Bromwich,  Age  7 

JEB  -  Held  in  Trust  for  Jonah  E.  Bromwich,  Age  4 

KAB  -  Held  in  Trust  for  Kira  Anne  Bromwich,  Age  10  months 


436 


SCHEDULE  C  (CONT'D.) 


PAGE  S 


III.   UNIT  INVESTMENT  TRUSTS 


OWNERSHIP 


SECURITY 


UNITS 


MARKET  VALUE 


FBF 


Unit  Tax  Ex. 
Sec.  Tr. 


10 


$    3,980.30 


SUBTOTAL: 


$    3,980.30 


MRB 

FBF 

JT 

ORB 

JEB 

KAB 


Michael  R.  Bromwich 

Felice  B.  Friedman  (wife)  „    , 

Jointly  held  by  Michael  R.  Bromwich  and  Felice  B.  Friedman 

Held  in  Trust  for  Daniel  R.  Bromwich,  Age  7 

Held  in  Trust  for  Jonah  E.  Bromwich,  Age  4  , 

Held  in  Trust  for  Kira  Anne  Bromwich,  Age  10  months 


437 


SCHEDULE  C  (CONT'D.) 


PAGE  6 


IV.   MOTDAL  FUNDS 


OWNERSHIP 


FBF 


FUND 


Fidelity 


SHARES 


794.901 


MARKET  VAT.IIB 
$    9,880.62 


MRB 


20th  Cent. 
Ultra 


69.814 


$    1,466.79 


MRB 


20th  Cent. 
Select 


32.729 


$    1,286.58 


MRB 


2  0th  Cent. 
Vista 


147.863 


$    1,475.67 


MRB 


Value  Line 
Fund 


$    1,474.91 


ORB 


20th  Cent, 
Growth 


108.573 


$    2,426.61 


DRB 


20th  Cent. 
Select 


87.317 


$    3,432.43 


DRB 


20th  Cent. 
Vista 


362.088 


SUBTOTAL : 


LISTED  SECURITIES  TOTAL! 


$    3,613.64 


$   25,057.25 
$  339.315.20 


MRB 

FBF 

JT 

DRB 

JEB 

KAB 


Michael  R.  Bromwich 

Felice  B.  Friedman  (wife) 

Jointly  held  by  Michael  R.  Bromwich  and  Felice  B.  Friedman 

Held  in  Trust  for  Daniel  R.  Bromwich,  Age  7 

Held  in  Trust  for  Jonah  E.  Bromwich,  Age  4 

Held  in  Trust  for  Kira  Anne  Bromwich,  Age  10  months 


438 


SCHEDULE  D 


REAL  ESTATE  OWNED 


OWMERSHIP         LOCATION  ASSESSED  VALUE 


JT  3806  Military  Road,  N.W.  S  372,793.00 

Washington  D.C, 
(Personal  Residence) 


TOTAL:  S  372,793.00 


MRB  =  Michael  R.  Bromwich 

FBF  =  Felice  B.  Friedman  (wife) 

JT  =  Jointly  held  by  Michael  R.  Bromwich  and  Felice  B.  Friedman 

DRB  =  Held  in  Trust  for  Daniel  R.  Bromwich,  Age  7 

JEB  =  Held  in  Trust  for  Jonah  E.  Bromwich,  Age  4 

KAB  =  Held  in  Trust  for  Kira  Anne  Bromwich,  Age  10  months 


439 


SCHEDULE  E 
AUTOS  AND  OTHER  PERSONAL  PROPERTY 
OWNERSHIP         PERSONAL  PROPERTY  BOOK  OR  MARKET  VALUE 

JT  1981  Honda  Civic  GL  $    1,100.00 

JT  1990  Honda  Accord  S   10,975.00 

JT  Furniture,  Appliances,  Books,  Other     $   11,000.00 

Household  Contents 


FBF  Fine  Arts,  Silverware,  China,  $   14,000.00 

Crystal,  Jewelry,  etc. 


SUBTOTAL:  $   37,075.00 


MRS  =  Michael  R.  Bromwich 

FBF  =  Felice  B.  Friedman  (wife) 

JT  =  Jointly  held  by  Michael  R.  Bromwich  and  Felice  B.  Friedman 

DRB  =  Held  in  Trust  for  Daniel  R.  Bromwich,  Age  7 

JEB  =  Held  in  Trust  for  Jonah  E.  Bromwich,  Age  4 

KAB  =  Held  in  Trust  for  Kira  Anne  Bromwich,  Age  10  months 


440 


SCHEDULE  F 


OWMERSHIP 


RETIREMENT  ACCOUNTS 
RETIREMENT  INSTRUMENT/VEHICLE 


MARKET  VALUE 


FBF 


FBF 


Paine  Webber  Retirement  Money  Fund 


Paine  Webber  IRA: 
Nynex  Corp.:  100  shares 


$     174.79 

$   4,012.50 


FBF 


Paine  Webber  IRA: 
Upjohn  Co.:   100  shares 


$   2,900.00 


FBF 


Paine  Webber  IRA: 

Global  Health  Sciences:  100  shares 


$   1,087.50 


FBF 


Paine  Webber  IRA: 
Signet  Bank:  100  shares 


$   3,475.00 


FBF 


FBF 


FBF 


FBF 


MRB 


401(k):   U.S.  Trust  Short-Term  Fund 


401 (k):   Fidelity  Puritan  Fund 


401(k):   Fidelity  Magellan  Fund 


401 (k):   Fidelity  Overseas  Fund 


20th  Century  IRA 
U.S.  Govt.  Securities 


$  8,045.08 

$  7,487.90 

$  9,644.22 

$  4,204.36 

$  9,872.38 


MRB  =  Michael  R.  Bromwich 

FBF  =  Felice  B.  Friedman  (wife) 

JT  =  Jointly  held  by  Michael  R.  Bromwich  and  Felice  B.  Friedman 

DRB  =  Held  in  Trust  for  Daniel  R.  Bromwich,  Age  7 

JEB  =  Held  in  Trust  for  Jonah  E.  Bromwich,  Age  4 

KAB  =  Held  in  Trust  for  Kira  Anne  Bromwich,  Age  10  months 


441 


SCHEDDLE  7  (CONT'D.)  PAGE  2 


OWWER8HIP        RETIREMEMT  IH8TROMEMT/VEHICLE  MARKET  VALDE 

MRB  Mayer,  Brown  &  PlattH/         $   42,484.9512/ 

Savings  Plan 


MRB  401(k):  Kidder,  Peabody  Funds   $   31,163.73 


SUBTOTAL:    $  124,552.41 


MRB  =  Michael  R.  Bromwich 

FBF  =  Felice  B.  Friedman  (wife) 

JT  =  Jointly  held  by  Michael  R.  Bromwich  and  Felice  B.  Friedman 

DRB  =  Held  in  Trust  for  Daniel  R.  Bromwich,  Age  7 

JEB  =  Held  in  Trust  for  Jonah  E.  Bromwich,  Age  4 

KAB  =  Held  in  Trust  for  Kira  Anne  Bromwich,  Age  10  months 


11/       This  savings  plan  is  mandatory  for  all  Mayer,  Brown  & 
Piatt  partners  and  is  separate  from  the  discretionary  4  01 (k)  plan 
listed  below.   For  both  the  savings  plan  and  the  401 (k)  plan, 
each  partner  has  the  choice  of  four  investment  plans,  all  of 
which  are  managed  by  Kidder,  Peabody:  1)  a  money  market  fund;  2) 
an  aggressive  equity  fund;  3)  a  conservative  equity  fund;  and  4) 
a  balanced  fund.   For  approximately  the  last  six  months,  I  have 
divided  both  the  mandatory  savings  and  401 (k)  portions  of  my 
retirement  plan  as  follows:  10%  money  market  fund;  30%  aggressive 
equity  fund;  30%  conservative  equity  fund;  and  30%  balanced  fund. 
To  my  knowledge,  I  have  never  received  a  Kidder,  Peabody 
statement  for  either  account  that  itemizes  the  individual 
securities  holdings  of  any  of  the  four  funds. 

12/       Because  I  was  a  member  of  the  Mayer,  Brown  partnership 
on  November  30,  1993,  I  was  subject  to  the  mandatory  features  of 
the  firm's  savings  plan  as  well  as  eligible  to  make  a  voluntary 
contribution  to  my  401 (k)  account.   In  order  for  the  amounts 
contributed  to  the  mandatory  portion  of  the  firm's  savings  plan 
to  vest,  I  would  need  to  have  been  with  the  firm  as  a  partner  for 
five  years.   Since  I  will  resign  from  the  firm  after  slightly 
more  than  four  years  as  a  partner,  I  will  receive  back  as  a 
"forfeiture"  the  amounts  I  contributed  to  the  savings  plan. 
These  amounts  will  be  taxable  to  me  as  ordinary  income  in  1994. 


442 

SCHEDOLE  6 
CAPITAL  BALANCE  —  MAYER,  BRORM  t    PLATT 

Permanent  Capital  Balance  with  firm  $  100,944.00 

(January  1,  1993  requirement) 

Loan  balance  due  to  The  Northern  Trust  Company  13./     ($   47,444.00) 

MET  CAPITAL  BALAMCE:  $   53,500.00 


11/       Approximately  two  years  ago,  Mayer,  Brown  &  Piatt 
required  all  partners  who  had  not  yet  fulfilled  their  capital 
contribution  requirements  to  do  so  within  a  few  months.   As  an 
accommodation,  the  firm  established  a  loan  program  with  The 
Northern  Trust  Company  to  extend  loans  to  all  partners  who 
required  financial  assistance  to  satisfy  the  balance  of  their 
capital  contributions.   Mayer,  Brown  &  Piatt  has  reimbursed  its 
partners  for  the  interest  incurred  in  obtaining  such  loans. 


I 


443 


SCHEDDLE  H 


REAL  ESTATE  MORTGAGES  PAYABLE 


OBMERSHIP         LOCATION  OF  PROPERTY  PRINCIPAL  BALAKCE 

JT  3806  Military  Road,  N.W.  $   240,810.98 

Washington  D.C.  (residence)         (as  of  1/1/94) 

Mortgage  holder: 

Citicorp  Mortgage,  Inc. 
P.O.  Box  790001 
St.  Louis,  Missouri   63179 
Loan  i    0002347705 

SUBTOTAL :        $   240,810.98 


444 


LETTERS  IN  SUPPORT  OF  MICHAEL  R.  BROMWICH 


CONTENTS 


1.   LAW  ENFORCEMENT:  UNITED  STATES  ATTORNEY'S  OFFICE  FOR  THE 

SOUTHERN  DISTRICT  OF  NEW  YORK 


A.   RUDOLPH  W.  GIULIANI 

•  United  States  Attorney  for  the 

Southern  District  of  New  York   (1983-89) 

•  Associate  Attorney  General 

United  States  Department  of  Justice   (1981-83) 

•  Mayor 

New  York  City,  New  York 


STUART  E.  ABRAMS 

•   Chief,  Major  Crimes  Unit   (1986-88) 
Chief,  Appeals  Unit   (1985-86) 
Assistant  United  States  Attorney  for  the 
Southern  District  of  New  York   (1982-89) 


•   Law  Offices  of  Stuart  E.  Abrams 
New  York,  New  York 


C.   BRUCE  A.  BAIRD 

•  Chief,  Securities  and  Commodities  Fraud  Unit 

(1987-89) 
Deputy  Chief,  Criminal  Division   (1986-87) 
Assistant  United  States  Attorney  for  the 
Southern  District  of  New  York   (1980-89) 

•  Special  Assistant  to  Deputy  Attorney  General 

Harold  Tyler   (1975-76) 

•  Partner 
Covington  &  Burling 
Washington,  D.C. 

*   This  letter  was  not  included  in  the  packet  of  letters  sent  to 
the  Judiciary  Committee  on  February  25,  1994 


445 


CHARLES  M.  CARBERRY 

•  Chief,  Securities  and  Commodities 

Fraud  Onit  (1986-87) 
Deputy  Chief,  Criminal  Division   (1985-86) 
Assistant  United  S